CHAPTER 4. REQUESTS FOR SERVICE RECORDS

CONTENTS

SUBCHAPTER I. SERVICE RECORDS MIGRATION

PARAGRAPH PAGE

4.01 Overview of Service Records Migration 4-I-1

4.02 Records Routinely Furnished 4-I-7

SUBCHAPTER II. RECORDS MANAGEMENT CENTER (RMC) AND ASSOCIATED RO PROCESSING

4.03 VA Obtains Service Medical Records from the Military 4-II-1

4.04 RMC Workflow 4-II-1

4.05 BIRLS Information Showing SMR Folder Establishment 4-II-3

4.06 BIRLS Information Showing SMR Folder Received by the Regional Office 4-II-4

4.07 Multiple SMRs 4-II-5

4.08 Request for Transfer of SMRs Required When NOD Folder Involved 4-II-5

4.09 Folder Transfer Restrictions 4-II-5

4.10 Claims Folders at RMC or an FRC 4-II-5

4.11 Informational Message for Claims Folder Establishment When SMR Already Exists 4-II-5

4.12 CEST Processing 4-II-5

4.13 Special Problems With BIRLS Records 4-II-6

4.14 Original or a Photocopy of SMRs 4-II-6

4.15 RMC Liaison Established 4-II-6

4.16 Unassociated Service Medical Records 4-II-7

SUBCHAPTER III. ROUTINE REQUESTS FOR SERVICE RECORDS

4.17 General Procedure 4-III-1

4.18 Preparation of PIES Requests for Service Records 4-III-1

4.19 Protection of Records 4-III-1

4.20 Accessing Reports 4-III-2

4.21 RO Detail Report 4-III-3

SUBCHAPTER IV. SPECIAL SITUATIONS AND ALTERNATE SOURCES OF RECORDS

4.22 Surgeon General's Office (SGO) Extracts 4-IV-1

4.23 Fire-Related Cases 4-IV-2

4.24 Special Action Required to Obtain Specific Service Information 4-IV-3

4.25 Alternate Sources for Service and Medical Records 4-IV-6

4.26 Requests for Service Records from Medical Centers 4-IV-8

SUBCHAPTER V. CONTROL AND FOLLOWUP PROCEDURES

4.27 Routine Control and Followup Procedures 4-V-1

4.28 Special Followup by the Military Records Specialist 4-V-2

4.29 Procedure When Service Records Unavailable 4-V-5

SUBCHAPTER VI. MERCHANT MARINE SERVICE

4.30 Establishing Veteran Status Based on Merchant Marine Service 4-VI-1

4.31 Service Record Requests for Merchant Seamen 4-VI-2

SUBCHAPTER VII. EXCHANGE OF RECORDS WITH DISCHARGE REVIEW BOARDS AND BOARDS FOR CORRECTION OF MILITARY RECORDS

4.32 Exchange of Records Between VA and the U.S. Army Board for Correction

of Military Records and the Army Discharge Review Board 4-VII-1

4.33 Exchange of Records Between VA and the U.S. Air Force Discharge Review Board 4-VII-2

4.34 Exchange of Records Between VA and the Navy Board of Review and the Board of

Correction of Naval Records 4-VII-3

SUBCHAPTER VIII. SERVICE RECORDS FOR PRISONERS OF WAR (POWS)

4.35 Requests for Prisoner of War Records 4-VIII-1

4.36 World War II Record Groups 4-VIII-1

4.37 Korean Conflict Record Groups 4-VIII-2

4.38 POW Records for Periods Other Than World War II and Korean Conflict 4-VIII-2

4.39 Action if Service Records Are Not Obtainable 4-VIII-2

SUBCHAPTER IX. ADMISSION TO UNIFORMED SERVICES MEDICAL FACILITIES

4.40 Action on Receipt of VA Form 21-8358 4-IX-1

SUBCHAPTER X. PROVIDING RECORDS TO SUPPORT MILITARY RESERVE RECRUITING

4.41. Providing Records to Air Force, Marine and Navy Reserve Recruiting Services 4-X-1

ADDENDA

A. Service Department or Records Center Address Codes 4-A-1

B. Service Number Series Guide 4-B-1

C. Service Request Addresses and Telephone Numbers 4-C-1

D. Addresses for National Archives to be Used to Obtain Logbooks 4-D-1

E. Marine Index Bureau Sample Pattern Letter to the Claimant 4-E-1

F. List of State Adjutants General 4-F-1

G. VA Regional Office & Associated Army Transition Point 4-G-1

H. Merchant Marine Letter for U.S. Army Transport Corps or Navy Transportation Service 4-H-1

I. Development Letter for the U.S. Public Health Service 4-I-1

J. Development Letter for Records Expected to be in the Custody of the Reserves or

National Guard 4-J-1

K. PIES Status and Request Codes 4-K-1

L. Determining the Discharge Status for PIES Requests 4-L-1

M. Organizational Structure for Complete Organizational Requests 4-M-1

N. Glossary 4-N-1

CHAPTER 4. REQUESTS FOR SERVICE RECORDS

SUBCHAPTER I. SERVICE RECORDS MIGRATION

4.01 OVERVIEW OF SERVICE RECORDS MIGRATION

a. General. Where a veteran's service records end up following separation is affected by a number of different agencies and may vary depending on local conditions and workloads. Securing a veteran's service records may require careful analysis on the part of the individual doing the development. The following subparagraphs furnish a general framework for understanding what happens to a veteran's service records after separation from active duty. For specific instructions and address codes, see Addendum A.

Note: A critical element in locating a veteran's service records is knowing the type of separation. If the type of separation is “Discharge,” the veteran has no reserve obligation. If the type of separation is “Release from Active Duty,” the veteran is being transferred to a reserve component to complete his/her military obligation. This information is currently shown in item 23 of the DD214. Additionally, the veteran's Reserve obligation termination date can be found in Item 6 of DD 214, “Certificate of Release or Discharge from Active Duty.” Always use the current date when determining if there is a remaining obligation when there is a need to request military service records. When the obligation date is past, there is no reserve obligation for purposes of requesting military service records.

b. National Personnel Records Center (NPRC)

(1) The National Archives and Records Administration (NARA), an independent agency separate from both VA and Department of Defense, operates NPRC in St. Louis (address code 13). Most of the records needed in connection with the adjudication of veterans' claims will eventually end up in NPRC except for the following service medical records:

(a) Active Reservists’ records. These records are kept by the personnel office of the Service Reserve Unit.

(b) Inactive Reservists’ Records. These records are maintained by the personnel office of the Branch of Service until the veteran is activated for reserve duties at which time the records are sent to the Reserve Unit's personnel office.

(c) National Guards. Records of veterans on National Guard duties are maintained by the personnel office of the Service National Guard Center where the veteran is serving.

(d) Retirees’ Records. These records are maintained by the Branch of Service that the veteran retired from. Upon the death of the veteran, the records are sent to the National Personnel Records Center (NPRC).

(e) Temporary Disability Retired Lists (TDRL). Records of veterans on TDRL are kept by the personnel office of the Branch of Service. If the veteran is subsequently retired due to permanent disability, these records are sent to the National Personnel Records Center (NPRC).

(f) General Officer. All General Officer records are kept at the Pentagon.

When there is no claim for VA benefits prepared prior to separation, the dental and outpatient medical records are normally forwarded to the VA Records Management Center (RMC) in St. Louis, MO.

Note: Although NARA operates NPRC, references in this chapter to "the service department" include NPRC as it is one of the most important repositories of service department records.

(2) NPRC has three main types of veteran's records:

(a) Individual Health and Service Records. These records are recorded in NPRC’s database filed by the veteran's name, Social Security number or service number.

(b) Clinical Records. Clinical records are filed by the military hospital or other military medical facility which provided treatment. The medical facility normally retires its records to NPRC when there has been no treatment for two calendar years. Clinical records are filed by hospital name or number, then chronologically by year of treatment, or month and year of treatment. See paragraph 4.17 for more information on the distinction between individual health records and clinical records.

(3) NPRC has a Records Reconstruction Branch which uses unit records and other alternative sources to reconstruct records which may have been destroyed in the 1973 NPRC fire. See paragraph 4.23.

(4) The Personnel Information Exchange System (PIES) program is used to request all service record requests for all address codes. The submitted requests are electronically matched to NPRC’s Registry holdings at the end of each day. Currently, the requests for other than Code 13 are printed at the RMC and forwarded directly to the appropriate locations. The requests for NPRC are handled electronically by the VA Liaison staff located at the NPRC. If the requester physically inserts an address code, it overrides the computer mapping logic. The insertion of an address code by the user should be limited to those situations specifically provided for in later paragraphs.

c. Army Records

(1) Records are assembled at the separation point. Every effort is made to obtain the health and dental records for each separating individual. Currently, the medical records are forwarded to the RMC if a claim has not been filed. Enlisted members have an Official Military Personnel Folder (OMPF) which is maintained at Ft. Benjamin Harrison while the soldier is on active duty. The OMPF is stored in an optical imaging format called the Permanent Electronic Records Management System (PERMS). The field activity is responsible for seeing that information from the field jacket, known as the Military Personnel Records Jacket (MPRJ), is added to the OMPF in PERMS. When a member is released from active duty, the maintenance of his/her PERMS record is transferred to AR-PERSCOM. When the service member is discharged or retired, his/her PERMS record is downloaded to a microfiche format and transferred, along with any paper records that may still exist, to AR-PERSCOM for further transfer to NPRC for storage. Exceptions:

(a) All General Officer records are kept at the Pentagon.

(b) If the veteran is in a specific Reserve or National Guard unit, the records are sent to that unit.

(2) When the veteran no longer has a Reserve obligation or any other involvement with the Reserves or Guard, the records are forwarded to NPRC.

(3) Addendum F provides a list of state Adjutants General. Because of delays in forwarding records from one point to another, the records may not be where they are supposed to be. It is also possible that the records might never have left the separation center or treating facility or that the records might be in the veteran's possession. If the veteran had a terminated Reserve/Guard connection, the veteran's records may still be at the Reserve/Guard unit. Develop to these alternate locations if a primary request for records is unsuccessful.

d. Navy Records

(1) Service records are assembled at the separation point and forwarded to the Naval Reserve Personnel Center (NRPC) in New Orleans (address code 36). (Do not confuse "NRPC" with "NPRC".)

(2) Prior to January 31, 1994, NRPC received the medical and nonmedical service records for each separating sailor. Beginning January 31, 1994, NRPC receives nonmedical service records. The RMC receives all medical records directly from military installations at which the Navy veteran is separated if the member does not file a claim at discharge. See Subchapter II for RMC processing. Subparagraphs (3) through (7) below pertain to all service records but only SMRs for veterans released before January 31, 1994.

(3) If the veteran is retired or discharged with no Reserve obligation, the medical and dental records are held in New Orleans while nonmedical service records are sent to the Naval Military Personnel Command in Millington, TN (address code 31) for microfilming. After approximately 12 months, the nonmedical service records are returned to New Orleans (address code 36) where they are associated with the medical records. Then the entire package is sent to NPRC (address code 13).

(4) If the veteran has a Reserve obligation but is not in an Active Reserve unit, all service and medical records are maintained in New Orleans (address code 36) until the Reserve obligation expires. When the veteran no longer has a Reserve obligation, the nonmedical service records are sent to Millington, TN (address code 31) for microfilming. After approximately 12 months, the nonmedical service records are returned to New Orleans (address code 36) where they are associated with the medical records. Then the entire package is sent to NPRC (address code 13).

(5) If the veteran is on TDRL (Temporary Disability Retired List), all service and medical records remain in New Orleans (address code 36). When the veteran is permanently retired or discharged, the records are processed as described in subparagraph (3) above.

(6) If the veteran is in an Active Reserve unit, service records are maintained by the unit. When the veteran leaves the Reserve unit, service records go to New Orleans (address code 36) until the Reserve obligation expires. At that time, the process described in subparagraph 4 above is completed.

(7) Addendum A shows the timeframes for sending requests to the various address codes. Because of delays in forwarding records from one point to another, the records may not be where they are supposed to be. It is also possible that the records might never have left the separation center or treating facility or that the records might be in the veteran's possession. If the veteran was in a Naval Reserve unit, the veteran's service records may still be at the Reserve unit.

e. Air Force Records

(1) Prior to May 1, 1994, records were assembled at the separation point and a sort performed based on whether there was a Reserve obligation or Reserve/Air National Guard connection. If there was no Reserve obligation or Reserve/Air National Guard connection, the veteran's records were sent to the USAF Military Personnel Center, Randolph AFB, Texas (address code 22). The records were retained at Randolph AFB for three to six months. Then they were forwarded to NPRC (address code 13).

Note: Since May 1, 1994, code 22 received the medical and nonmedical service records for each separating member. Since May 1, 1994, code 22 receives nonmedical service records. The RMC receives all medical records directly from installations at which the Air Force veteran is separated except for those veterans assigned to a Selected Reserve Unit. See Subchapter II for RMC processing. Subparagraphs (2) and (4) through (6) below pertain to all service records but only SMRs for veterans released before May 1, 1994.

(2) If the veteran is assigned to a special inactive ready reserve component, the records are sent to the Air Reserve Personnel Center (ARPC) in Denver (address code 21). When the Reserve obligation expires, the records are forwarded to NPRC (address code 13).

(3) If the veteran is in the Active Reserves or an Air National Guard unit, the records are maintained by the unit which is required to respond within five days to VA requests for SMRs.

(4) When the veteran leaves the Air National Guard, service records are sent to the state headquarters (Office of the Adjutant General) which functions as a separation and transfer point. The state sends the records to ARPC. At ARPC, a sorting process occurs. Records for guardsmen completely separated, who have completed their military contract, are sent to NPRC. Records for retired guardsmen are sent to NPRC when they begin to receive retired pay. All other service records are retained until the military commitment expires. Then they are forwarded to NPRC (address code 13).

(5) When the veteran retires from the Reserves, the SMRs are sent to the RMC (376) and the nonmedical are sent to NPRC (address code 13).

(6) Addendum A shows the timeframes for sending requests to the various address codes. Because of delays in forwarding records from one point to another, the records may not be where they are supposed to be. It is possible that the records may never have left the separation center or treating facility or may be with his/her Reserve/Guard unit or the records might be in the veteran's possession.

f. Marine Corps Records

(1) Records are assembled at the separation point and a sort is performed based on whether there is a Reserve obligation or Reserve connection.

(2) Prior to May 1, 1994, Headquarters, USMC, in Quantico, VA (address code 41) received the medical and nonmedical service records for each separating member. Since May 1, 1994, code 41 receives nonmedical service records only. The RMC receives all medical records directly from military installations at which the Marine veteran is separated. See Subchapter II for RMC processing. Subparagraphs (3) through (8) below pertain to all service records but only SMRs for veterans released before May 1, 1994.

(3) If there is no Reserve obligation or connection, the records are sent to Headquarters, USMC, in Quantico, VA (address code 41). The records stay at Quantico for approximately two years. At the end of this period they are forwarded to NPRC (address code 13).

(4) If the veteran is in an Active Reserve unit, service medical records are sent to the unit of assignment.

(5) If the veteran has a Reserve obligation but is not in an Active Reserve unit, the records are sent to the RMC for copying before forwarding to the Marine Corps Reserve Support Command (MCRSC), Overland Park, KS (address code 42). The RMC retains a copy for use in the event the veteran files a claim for disability benefits.

Note: Substantial delays may be encountered in securing records from Overland Park because that facility puts the veteran's entire record (medical and nonmedical) on microfiche. Personnel at Overland Park will not respond to routine VA requests if the required records are awaiting microfilming. However, if the military records specialist makes a telephone call to Overland Park and the criteria in paragraph 4.29a have been met, personnel at Overland Park will remove the requested records from the microfilm queue and respond to the 3101 request.

(6) At the end of the veteran's Reserve obligation or connection, the records are forwarded to the RMC.

(7) If the veteran retires from the Reserves, the SMRs are sent to the RMC. The medical and dental records for those veterans who are placed on the Temporary Disability Retired List (TDRL) are sent to Quantico so the records can be put on optical disk. Quantico sends those records to the RMC when that process is completed.

(8) Addendum A shows the timeframes for sending requests to the various address codes. Because of delays in forwarding records from one point to another, the records may not be where they are supposed to be. It is possible that the records might never have left the separation center or treating facility, the reserve unit, or that the records might be in the veteran's possession.

g. Coast Guard Records

(1) Records are assembled at the separation point.

(2) Prior to May 1, 1998, the records were sent to the Commandant, US Coast Guard, Washington,

DC (address code 51) and subsequently forwarded to NPRC if there was no Reserve obligation or connection. Since May 1, 1998, code 51 receives both the medical and nonmedical service records. Here the service medical records are separated and forwarded to the RMC. The RMC receives all Coast Guard medical records from Code 51. See Subchapter II for RMC processing. Subparagraphs (3) through (8) below pertain to all service records but only SMRs for veterans released before May 1, 1998.

(3) If the veteran has a Reserve obligation but is not an active Reservist, medical records are maintained by one of nine district headquarters (depending on the veteran's place of residence). Requests for medical records for Coast Guard veterans with a Reserve obligation (but not in the active Reserves) should be sent to Washington, DC (address code 51). The Commandant will forward them to the appropriate district.

(4) If the veteran is in an active Reserve unit, medical records are usually maintained by the unit. In some districts, the records are maintained at district headquarters. However, a request to the unit will be forwarded to the district headquarters if the records are located there.

(5) When the veteran no longer has a Reserve obligation or any other Reserve connection, the

records are forwarded to Washington, DC (address code 51) where they are separated. The nonmedical records are sent to NPRC (address code 13) and the medical records are forwarded to the RMC.

(6) If the veteran retires from the Reserves, the records are sent to Washington, DC (address code 51) where they are separated. The nonmedical records are sent to NPRC (address code 13) and the medical records are forwarded to the RMC.

(7) Addendum A shows the timeframes for sending requests to the various address codes. Because of delays in forwarding records from one point to another, the records may not be where they are supposed to be. It is possible that the records may never have left the separation center or treating facility, the reserve unit, or that the records might be in the veteran's possession.

h. Records Management Center (RMC)

(1) The VA Records Management Center houses all service medical records received from Department of Defense (DoD) except for service medical records consolidated in claims or NOD (Notice of Death) folders at regional offices. It also houses inactive VA claims folders.

(a) For the Army, if the DD 214 shows a Reserve Obligation date and the veteran is assigned to a specific Reserve/Guard unit, the RMC copies the records and mails the originals to the unit. If the DD 214 shows a Reserve Obligation date and the veteran has been transferred to AR-PERSCOM (formerly ARPERCEN), the RMC stores the originals.

(b) The Air Force sends the records to the Reserve/Guard unit directly if the veteran is in an active status. The unit is required to respond to the RO within five days for a record request.

(c) For the Navy and Marine Corps, if the DD 214 shows a Reserve Obligation date, whether or not the veteran is assigned to a specific Reserve/Guard unit or is a member of the Individual Ready Reserve (IRR), the RMC copies the records and sends the originals to the Navy at the Naval Reserve Personnel Center in New Orleans or to the Marine Corps at the Marine Corps Reserve Personnel Center, Overland Park.

(2) The RMC contains the following service medical records:

BRANCH SEPARATION DATE ON OR AFTER

Army October 16, 1992

Navy January 31, 1994

Air Force May 1, 1994

Marine Corps May 1, 1994

Coast Guard May 1, 1998

The RMC may have SMRs for earlier periods than those listed above. Check the BIRLS LOC screen for a “Y” in the SMR field. SMRs are filed by the veteran's Social Security number. Do not send any 3101 requests to RMC. SMRs are requested automatically through the BIRLS-SMRTS (Service Medical Records Tracking System) link. See Subchapter II for BIRLS processing.

Note: SMRC code 375, RPC code 376 and RMC code 376 are now the same location. The RMC will accept even improper referrals of medical and dental records from service departments and record them in BIRLS. If a claims folder exists or is established, these records will be forwarded to the RO having the folder.

Records at the RMC include both individual health and dental records. RMC does not have hospital clinical records unless already associated with a claims file.

i. Inpatient Treatment Records (Clinicals)

(1) If a veteran was hospitalized as an inpatient in service, a summary of the hospitalization should appear in the veteran's individual health record. Normally this hospital summary will be adequate for rating purposes, but clinical records (detailed daily treatment records, nurses notes, etc.) are retained by the treating facility and are not filed with the individual health record.

(2) Clinical records are retained by the treating facility for one year after the end of the calendar year during which the veteran received treatment at Army and Air Force hospitals. Navy records are retained for two years after the end of the calendar year during which the veteran received treatment. They are then sent to NPRC (address code 13). If the veteran was treated at a military teaching hospital, the clinical records may be retained by the treating facility for an additional five to ten years.

4.02 RECORDS ROUTINELY FURNISHED

a. Termination of Active Service by Separation or Death. The following records are furnished routinely by the service departments at time of separation from service. Records are generally sent to the regional office having jurisdiction over the post-service mailing address provided by the veteran at time of separation. However, Army separation points may send the 21-526, “Veteran's Application for Compensation or Pension,” and the SMRs to the RO which has jurisdiction over its location. These documents should then be forwarded with the VA Form 21-526 to the RO of jurisdiction.

(1) Complete Health Record Including Entrance and Discharge Physical Examinations, if

Applicable. These records are furnished if the veteran files a claim at time of separation on

VA Form 21-526, or if the veteran is separated for disability (even if the veteran does not file a claim).

(a) If a veteran's service medical records are received and no claim has been filed, do a BIRLS inquiry to determine if a file exists.

1. If there is a claims folder at another regional office, send the medical records to the regional office that has the claims folder.

2. If BIRLS shows there is a claims folder in the RMC, review the materials for any indication that the veteran intends to file a claim for VA benefits. If so, request the folder from the RMC and associate the service medical records with the folder. Input an "O" in the SMR field on the LOC Screen (see paragraph 4.06).

3. If no claims or NOD folder exists, forward the SMRs (originals or copies) to the RMC for storage. Never destroy SMRs.

(b) Never return SMRs to the service department or NPRC without a specific request for their return. If SMRs are returned based upon a request, retain legible photocopies of everything returned. Ensure that the file shows the date sent and the address to which the records were sent. See subparagraph b below.

(2) Copy of DD Form 214, “Certificate of Release or Discharge From Active Duty”

(a) A copy of the DD Form 214 is furnished upon the veteran’s release from active duty, or if the veteran files a claim for benefits at the time of separation. Public Health Service uses PHS Form 1867; National Oceanic and Atmospheric Administration uses NOAA Form 56-16.

(b) A legible photocopy of (copy 3) of the veteran’s DD Form 214 is made by the Army transition points and Navy separation centers, and the Marine Corps (copy of Service-2). These are incorporated with the service medical records shipped directly to VA. The purpose is to ensure that verified service data accompany the service medical records. In addition, DD Form 214 (copy 3) is routinely funished to the Austin Automation Center for VADS.

(3) Reports of Casualty. If the veteran dies in service, DD Form 1300, “Report of Casualty,” or PHS Form 2709, “Report of Death of Commissioned Officer,” and reports of investigation, statement of medical examination and duty status and reports of facts and circumstances are sent to the RMC. The RMC may also receive a DD Form 1300 when a retired member or reservist dies.

(a) If all pertinent information is not available, an interim report is furnished to establish the fact and date of death for purposes of initiation and development of a claim. The interim reports of death cannot be used as the basis for determining the effective date of an initial award under part IV, paragraph 26.19a.

(b) In case of multiple deaths in a common accident, a list of all personnel and casualty reports for each person who died in the common accident are also furnished.

(c) The service department finance centers supplement reports of inservice deaths by furnishing DD Form 1515, “Pay and Allotment Information–Deceased Member,” certifying the final settlement of allowances, allotments and service pay (part IV, paragraph 26.19b).

(d) The RMC forwards the DD Form 1300 to the RO of jurisdiction if BIRLS reflects the existence of a claims or NOD folder. Otherwise, it will send the DD Form 1300 to the RO of jurisdiction for the next of kin. The RO should process the FNOD when the DD Form 1300 is received (unless the FNOD has already been processed.) A lightweight folder should be established since the DD Form 1300 is a document of evidentiary value.

(4) Reports of Separation Furnished to VADS. DD Form 214 (copy 3), copies of PHS Form 1867 or copies of NOAA Form 56-16 are routinely furnished to the Austin Automation Center. BIRLS records may be created or, in the case of an existing record, updated to reflect service information received from the

service department. BIRLS indicates the existence of a VADS record with a "Y" in the VADS field on the VID screen. See part II, paragraph 6.05e, on use of the BIRLS VID screen as evidence of service.

b. Return of Military Personnel and Medical Records on Loan to VA. Generally, military records will be retained in the veteran's claims folder in the absence of a request for return of the records to the service department. If a request by telephone or in writing for return of the records is received, photocopy the records and promptly return the originals to the requesting military element. Annotate the folder to show where the original service records were sent and the date on which they were sent and keep a copy of the request document from the military if one was received. Photocopies of SMRs are acceptable for the Air Force (SAF/MIBR) at Randolph Air Force Base in Texas in lieu of original SMRs if the folder is being held because it is eligible for Court of Appeals for Veterans Claims review. See also paragraph 4.14 and Subchapter VII.

February 27, 2002 M21-1, Part III

Change 88

SUBCHAPTER II. RECORDS MANAGEMENT CENTER (RMC) AND ASSOCIATED RO PROCESSING

4.03 VA OBTAINS SERVICE MEDICAL RECORDS FROM THE MILITARY

a. Service Department Transition Point Processing. Service separation points will ensure that service medical records (SMRs) are segregated from other military records and are available during the servicemembers' separation outprocessing. Transition points will provide VA with all available SMRs. The Army or Navy will advise the servicemember that his or her SMRs will be mailed directly to VA within five working days of his or her separation (this does not apply to those servicemembers who are participating in the Benefits Delivery at Discharge program since their records are made available immediately). The Marine Corps will attempt to send the SMRs to the RMC within one day. To ensure verified service data are also available, the transition points will place a legible photocopy of the servicemember's DD Form 214 into the SMR. This is a separate copy from the copy 3 which is sent to VA in Austin, Texas. The Marine Corps will photocopy "Service-2" of the DD Form 214 and attach it; when one is not available, a memo will be attached to the SMRs which identifies the length of reserve obligation and a statement that the SMRs should be forwarded to the MCRSC by the RMC. See paragraph 4.02a(4).

Note: Occasionally, SMRs are received in the RMC before the cutover dates for the four service departments. When this happens, the records are stored at the RMC.

b. Service Medical Records. The SMRs are the military health records for each veteran and typically include all physical examinations (including entrance and discharge physical examinations, as needed), medical history, all dental exams/records, panograph, clinical record cover sheets and summaries, entries from outpatient medical and dental treatments, physical profiles, medical board proceedings, and prescriptions for eyeglasses and orthopedic footwear. Physical profiles and medical board proceedings are also classified as personnel records and may appear in the personnel file as well. The SMRs do not include inpatient treatment records (clinicals), finance records or the MPRJ (personnel) file.

c. No Application for VA Benefits. Service Branches send SMRs to the RMC for separating servicemembers who have not applied for VA benefits. Currently, NOAA and PHS do not.

d. Application for VA Benefits. SMRs and the applications of servicemembers who apply for VA benefits at separation will generally be sent directly to the ROs of jurisdiction by the service departments. Army transition points and some for other services may send the applications and SMRs to the closest RO. Mail such applications and the SMRs to the RO of jurisdiction after certifying the DD214 or other separation documents are being received directly from the service departments. ROs servicing the transition points should use the Military Services Coordinators who have already established liaisons with the service departments to resolve any problems with SMR shipments for veterans who applied for VA benefits while on active duty awaiting discharge.

e. Transmittal Record. Transition and separation points will prepare a transmittal record DD 200 with each SMR shipment to VA. It will list names and Social Security numbers of servicemembers whose SMRs are being forwarded. This information will serve as a control document to identify and validate the SMRs shipped to both the RMC and the RO servicing the transition point. Following review and validation of the SMR shipment received, the transmittal record should be signed, a copy returned to the separation point acknowledging receipt and a copy retained at the receiving RO. The receiving RO should input "O" into the SMR field on the LOC Screen (see paragraph 4.06).

4.04 RMC WORKFLOW

a. SMR Shipment Validation. The RMC will confirm the contents of shipments, record the date of receipt of each SMR and provide acknowledgment of receipt of each shipment to the transition point. If

listed SMRs are missing from the shipment or if SMRs not listed are received, an attempt will be made to contact the transition or separation point about the problem.

b. SMRs Established in VA System. The Service Medical Records Tracking System (SMRTS) is the RMC's computer support for recording service medical record receipts. It provides a uniform method for managing and tracking the movement of SMRs into and out of the RMC. SMRTS interfaces with BIRLS. A SMRTS record is created for each SMR received.

c. All Military Records Jackets Filed. Service department health records are received from transition points in separate or multiple jackets for the same veteran. All jackets together represent the complete SMR for that veteran. Each jacket uses the same veteran identification (name and Social Security number). The contents of all jackets associated with a veteran are transferred upon a single regional office request.

d. Automatic Update to BIRLS. An SMR folder is automatically established in BIRLS. SMRTS processing generates automatic updates to BIRLS. The RMC does not enter service data into BIRLS upon receipt of service medical records. That information comes from the VADS (Veterans Assistance Discharge System) and Defense Finance and Accounting System (DFAS) interfaces.

e. SMRs Transferred to Regional Offices If Claims Folder Exists or Is Established. When the SMR folder is established in BIRLS, BIRLS determines if a claims folder already exists. If a claims folder exists, BIRLS will set the SMR folder in transit and RMC will send the record to the location of the claims folder. If an RO establishes a claims folder for a veteran whose SMRs are located at the RMC, an automatic transfer request will be generated for the RMC to transfer the SMR folder to the regional office with the claims folder. This automatic feature is only used with claims folders. SMRs are copied and sent to the lightweight (NOD) folder only upon specific regional office request. The “in transit” date is generated when the transfer request is generated and does not indicate the date the folder is physically transferred.

f. No BIRLS Record Exists At Time of Automatic Update. If no BIRLS record is found during the automatic update to BIRLS of SMRs information, a BIRLS record is created based on the veteran's name and Social Security number. The BIRLS record created may not contain complete service data, but the SMR folder will be established and reflected on the LOC screen.

Note: The RMC will process SMRs received even if a copy of the veteran's DD 214 was not received.

g. BIRLS Record Exists–No Claims Folder. If a BIRLS record exists for the servicemember whose SMR is received at the RMC, but there is no claims folder, the BIRLS record will be updated to establish the SMR folder location in BIRLS.

h. RMC Processes SMRs Received

(1) SMRs are sorted for interfiling in the RMC file bank or for transfer to regional offices for consolidation in claims or NOD folders. All SMRs to be transferred will be sorted by the regional office to which they must be mailed and associated with a folder transfer document. Upon receipt, regional offices will place SMRs in protective envelopes (VA Form 21-4582, “Service Department Records Envelope”).

(2) The RMC will only maintain SMRs for those veterans who do not have a claims folder located at a regional office or whose claims folders are located at the RMC, RPC or a FRC. The RMC will respond to all requests for copies of documents from SMRs housed there and will return SMRs to the military should there be a further need.

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4.05 BIRLS INFORMATION SHOWING SMR FOLDER ESTABLISHMENT

a. BIRLS LOC Screen. When the SMR folder is established in BIRLS, the Folder Location Data

on the BIRLS LOC screen is updated. An indicator field labeled SMR will be set to "Y" (SMR at the RMC). Other acceptable field entries are "C" (SMR consolidated in the claim or NOD folder), "R" (SMR retired), "O" if the SMR was received at the RO not from the RMC, or blank if there is no SMR. Since no SMRs are being retired, the "R" is not used at this time. (See Figure 4.01.)

Note: Prior to October 1, 1995, the service medical records were maintained by the former Service Medical Records Center (SMRC 375). Some BIRLS LOC screens continue to show the SMRC 375 location for the SMR folder. The RMC (376) now houses the records showing 375 as well as 376.

LOC FOLDER MANAGEMENT SEQ NO 2450922490000020 10-01-1999

FILE NUMBER 222-22-4444 PN 00 NAME VET, JOE

FOLDER LOCATION DATA

FLDR CURRENT DES DATE OF PRIOR IN TRANSIT TO

TYPE LOCATION TRANSFER LOCATION STA DATE

CLAIM SYS NFE RESN

SMR 376 RMC 09-08-99

CH31 CH32/903 CH34 901 C&P JOBS SMR Y

BK BT

FOLDER DATA: REBUILT NO CLAIM FOLDER EST RSN

ESTABLISH A FOLDER FARC ACCESSION NO

TRANSFER THE FOLDER TO ROUTING SYMBOL TT23

THE FOLDER IS LOCATED AT THIS STATION

THE FOLDER IS UNAVAILABLE FOR TRANSFER:

CHARGED OUT TO FORWARD THE CLAIM TO

NEXT SCREEN

Figure 4.01. SMR Folder Established--Claims Folder Does Not Exist

b. SMRs Received At RMC–BIRLS Record Exists–Claims Folder Exists. When a claims folder already exists in BIRLS for the veteran whose SMRs are received at the RMC, the SMR folder is established and transferred in BIRLS. The IN TRANSIT TO segment for the SMR folder is automatically set to the CURRENT LOCATION of the claims folder. (See Figure 4.02.) The SMR folder DATE fields are set to current processing date. A folder transfer request is generated for the RMC to transfer the SMR. The RMC will send the SMR to the CURRENT LOCATION without updating BIRLS. This processing is like that used when a folder transfer is initiated by a regional office, but the initiation of the SMR folder transfer is system generated. If the CURRENT LOCATION of the claims folder equals RMC (Records Management Center), RPC (Records Processing Center) or FRC (Federal Records Center), the SMR folder will not be transferred. See paragraph 4.10 for processing when BIRLS shows the claims folder is at the RMC or a FRC.

LOC FOLDER MANAGEMENT SEQ NO 2450922490000020 12-01-1999

FILE NUMBER 222-22-4444 PN 00 NAME VET, JOE

FOLDER LOCATION DATA

FLDR CURRENT DES DATE OF PRIOR IN TRANSIT TO

TYPE LOCATION TRANSFER LOCATION STA DATE

CLAIM 328 CHICAGO 09-01-99

SMR 376 ST L RPC 11-13-99 328 11-13-99

CH31 CH32/903 CH34 901 C&P JOBS SMR Y

BK BT

FOLDER DATA: REBUILT NO CLAIM FOLDER EST RSN

ESTABLISH A FOLDER FARC ACCESSION NO

TRANSFER THE FOLDER TO ROUTING SYMBOL TT23

THE FOLDER IS LOCATED AT THIS STATION

THE FOLDER IS UNAVAILABLE FOR TRANSFER:

CHARGED OUT TO FORWARD THE CLAIM TO

NEXT SCREEN

Figure 4.02. SMR Folder Established and Transferred Claims Folder Already Exists

4.06 BIRLS INFORMATION SHOWING SMR FOLDER RECEIVED BY THE REGIONAL OFFICE

SMR folders received by regional offices will be recorded in BIRLS by inserting "SMR" in the blank for the statement THE ___________ FOLDER IS LOCATED AT THIS STATION on the BIRLS LOC Screen. The SMRs will be physically consolidated with the claims folders. The BIRLS update will automatically change the SMR indicator from "Y" to "C" and delete the SMR folder information. (See figure 4.03.) The "C" indicates that the SMR was consolidated in the claims folder. When an RO receives SMRs from a source other than the RMC, and the SMR indicator field is blank, a Veterans Service Center employee who has CEST or CADJ authority will enter the letter "O" in the SMR indicator field.

LOC FOLDER MANAGEMENT SEQ NO 2450922490000020 12-08-1999

FILE NUMBER 222-22-4444 PN 00 NAME VET, JOE

FOLDER LOCATION DATA

FLDR CURRENT DES DATE OF PRIOR IN TRANSIT TO

TYPE LOCATION TRANSFER LOCATION STA DATE

CLAIM 328 CHICAGO 09-01-99

CH31 CH32/903 CH34 901 C&P JOBS SMR C

BK BT

FOLDER DATA: REBUILT NO CLAIM FOLDER EST RSN

ESTABLISH A FOLDER FARC ACCESSION NO

TRANSFER THE FOLDER TO ROUTING SYMBOL TT23

THE FOLDER IS LOCATED AT THIS STATION

THE FOLDER IS UNAVAILABLE FOR TRANSFER:

CHARGED OUT TO FORWARD THE CLAIM TO

NEXT SCREEN

Figure 4.03. SMR Folder Consolidated in the Claims Folder

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4.07 MULTIPLE SMRS

The possibility exists that additional SMRs will be received at the RMC for veterans whose SMRs have already been forwarded to a regional office and consolidated. When a claims folder and SMR indicator set to "C" already exist in BIRLS and additional SMRs are received at the RMC, the BIRLS Folder Location Data will be reestablished for the SMR folder and the SMR indicator will be reset to "Y" as described in paragraph 4.05a above. A folder transfer request will be generated for the RMC to transfer the SMR. The RMC will send the SMR to the regional office without updating BIRLS. When the regional office records receipt of the additional SMRs in BIRLS, the SMR indicator will again update to "C."

4.08 REQUEST FOR TRANSFER OF SMRS REQUIRED WHEN NOD FOLDER INVOLVED

When a NOD folder is created, the regional office cannot request transfer of the SMRs in BIRLS. If the RO has only a NOD folder, and SMRs are required from the RMC, send an e-mail message to the RMC at VAVBASTL/RMC/RCD requesting them. BIRLS can only generate a request for SMRs for a claims folder.

4.09 FOLDER TRANSFER RESTRICTIONS

Claims or NOD folder transfer is not allowed during the automatic transfer of the SMR folder until the SMR folder has been consolidated as described in paragraph 4.06 above. Also, the SMR folder will not be automatically transferred if the claims folder is already IN TRANSIT TO another location. When the claims folder has been received by the requesting regional office and BIRLS has been updated to record that the claims folder has been received, the SMR folder transfer will be automatically initiated to the regional office having the claims folder. When a NOD folder has been received by the requesting regional office and BIRLS has been updated accordingly, the regional office may initiate a request for the SMR folder transfer.

4.10 CLAIMS FOLDERS AT RMC OR A FRC

When BIRLS indicates a claims folder is located at the RMC (or shows RPC) or a FRC, the SMR folder received at the RMC for the same veteran will be added in BIRLS and stored at the RMC. Normally, SMR folders are maintained by Social Security number. However, where the claim folder at the RMC is under a number other than the Social Security number, the SMR folder (beginning early 1998) is associated with the claims folder under the claim number. If BIRLS shows both the SMR and the claims folder separately on the LOC screen at the RMC and transfer is needed, two folder requests will be necessary. Request the claim folder via COVERS, and request the SMR via BDN command BUPD, or BFLD. When both are received, consolidate the records in BIRLS. Current programming prohibits CEST actions from generating the automatic SMR request because the claim folder is also at the RMC at the time of CEST.

4.11 INFORMATIONAL MESSAGE FOR CLAIMS FOLDER ESTABLISHMENT WHEN SMR

ALREADY EXISTS

When a claims folder is established under commands CEST, BADD, BFLD or BUPD, and a SMR folder already exists in BIRLS, a request for transfer of the SMR folder will be automatically generated for the RMC to transfer the SMR. Since development for the SMR will not be needed, the message "SMRC SENDING SERVICE MEDICAL RECORDS" will be displayed for the operator.

Note: The computer message still refers to the RMC as SMRC. That message has not been updated.

4.12 CEST PROCESSING

a. No BIRLS Record Exists. If no BIRLS record exists at CEST, a message will be displayed at the bottom of the VID Screen directing the establishment of a folder under the file number displayed. Under this condition, the system will establish a new BIRLS record and will automatically generate the same folder establishment message on a tearsheet for filing in the claims folder created. Since no BIRLS record previously existed, the SMR folder is not at issue. The message is:

NO BIRLS RECORD

BUILD FOLDER UNDER ASSIGNED NUMBER

b. BIRLS Record Exists. If a BIRLS record exists at CEST and the SMR indicator equals "Y" but no claims folder has been established, a message will be displayed at the bottom of the VID screen directing the establishment of a claims folder under the file number displayed and advising the operator of the SMR transfer request. The system will also automatically generate the same folder establishment message on a tearsheet for filing in the claims folder created. The message is:

BUILD FOLDER UNDER ASSIGNED NUMBER

SMRC SENDING SERVICE MEDICAL RECORDS

Note: The computer message still refers to RMC as SMRC. That message has not been updated.

4.13 SPECIAL PROBLEMS WITH BIRLS RECORDS

If two BIRLS records are found for the same veteran and SMR information is involved, contact the RMC Records Automation/Verification Unit via e-mail to VAVBASTL/RMC/UPD for assistance in consolidation.

4.14 ORIGINAL OR A PHOTOCOPY OF SMRS

Because SMRs for all separating Army servicemembers will be sent to VA, including SMRs for members of Reserve and National Guard units, individual Reserve and National Guard units may request return of SMRs directly from VA. VA will photocopy the SMRs and return the originals to the requesting unit. VA will retain the photocopy and annotate the file to show where the original service records were sent and the date they were returned. Similar procedures will be followed when SMR requests from other military elements are received. This procedure will be followed by both the RMC and the regional offices. In these situations, a copy of service records is acceptable as evidence for VA purposes without further development.

Note: VA cannot copy or duplicate X-ray film. Original X-ray film in the SMRs will be returned to the requester.

4.15 RMC LIAISON ESTABLISHED

a. Where it is expected that the SMRs should be at the RMC, a one-time check will be made to ensure the records are not there. E-mail VAVBASTL/RMC/RCD to check for the SMRs that should be there. Include the veteran’s name and Social Security number. Do not contact the RMC for other SMRs or non-medical records.

b. When BIRLS shows an “in transit” date for SMRs at 375 or 376 that is more than 2 weeks earlier

and the records have not arrived, e-mail VAVBASTL/RMC/RCD with the veteran’s name, Social Security number, and the “in transit” date and advise that the SMRs have not arrived.

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4.16 UNASSOCIATED SERVICE MEDICAL RECORDS

Occasionally regional offices will receive SMRs without a claim for benefits. Typically these are sent

from the military separation center directly to the regional office because the separating service member has indicated that he/she will file a claim later. When unassociated SMRs are received and a claim folder exists at another office, forward the SMRs to that office. If BIRLS shows no claims folder exists at an RO, send the SMRs to the RMC with a cover sheet indicating that the records are being forwarded because BIRLS shows no claims folder exists. Do not place these records in Military Files.

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SUBCHAPTER III. ROUTINE REQUESTS FOR SERVICE RECORDS

4.17 GENERAL PROCEDURE

a. Personnel Information Exchange System (PIES) Requests. The Personnel Information

Exchange System (PIES) is the automated software program that manages requests for veteran information (such as verification of service, information about character of discharge, medical records, etc.) for records stored at NPRC or one of the Services. PIES consists of two executable programs:

PIES Create program – Developed for use by Regional Office and RMC users to create 3101 requests.

PIES Respond program – Developed for use by NPRC and RMC Liaison users to respond to 3101 requests.

b. Primary Goal. PIES reduces the number of duplicate 3101 requests and eliminates the need for follow-up requests. With PIES the status of each request is available to all users. The application permits editing of requests while the request is in the “submitted” status. Normally, a PIES request will change to an “in process” status within 7 days of the submission date when the request is printed at NPRC. Requests directed for code 13 will be printed at NPRC. Requests for other than code 13 are printed at the RMC and mailed to those address codes. As soon as the requests are printed at the RMC (usually within one day of submission), the overall status of these requests becomes CO – completed. As other address codes are electronically linked with PIES, the requests will be electronically transferred. Due to the programming logic for mapping requests to the appropriate address code, rarely will the user need to self-address the request.

c. Reserve or National Guard Unit. PIES created requests should be used for all requests except

for those instances where the records are expected to be with a Reserve or National Guard Unit. In those instances, use the letter found in Addendum J; a paper 3101 is not necessary.

d. Notify the Claimant. At the same time a PIES 3101 request is sent for service medical records,

notify the veteran or claimant of the request and ask him/her to provide VA with any service records he or she has.

e. Service Medical Records from RMC. In no case should PIES be used to request a service

medical record from the RMC. (See Subchapter II for procedures to obtain SMRs from the RMC.)

4.18 PREPARATION OF PIES REQUESTS FOR SERVICE RECORDS

Instructions on how to create a request for service records can be found in chapter 4 of the Personnel Information Exchange System Participant Guide. This guide is now maintained on the VBA Compensation and Pension Service's Intranet site at: http://vbaw.vba.va.gov/bl/21/publicat/Users/Index.htm#bmp.

4.19 PROTECTION OF RECORDS

a. Maintain medical and other service department records in the claims folder in VA Form 21-4582, “Service Department Records Envelope,” which must be filed down to prevent loss or damage. It is the responsibility of all personnel handling claims folders to ensure that protective envelopes which have been damaged or are unusable because of wear and tear are repaired or replaced. The sides or bottoms of the envelopes should never be slit to remove records.

b. If burned copies of service records are received, additional care is required. The burned records should be copied carefully. The damaged records should be placed in VA Form 21-4582, prominently marked "BURNED ORIGINAL RECORDS. DO NOT REMOVE." The copies will be placed in a separate records envelope and marked "COPIES OF DAMAGED RECORDS."

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c. Do not mark on, date stamp, or punch holes in any records received from the service department. However, protective envelopes may be punched or date stamped as long as the contents are not affected. Do not remove records from their protective envelope except when required in the performance of duty.

d. It is suggested that microfiche records be stored in the envelope in which they are received from the service department and then placed in a larger envelope (VA Form 21-4582) to prevent their loss. Do not staple through the microfiche as that may destroy copies of needed records. It may be advantageous to make a hard copy of the microfiche medical records for immediate use, and keep them in the file until the issue is finally resolved.

4.20 ACCESSING REPORTS

a. The reports portion of PIES can be utilized to identify those records where 3101 requests have been submitted. There are several types of reports that can be selected (see chapter 9 of the PIES Participant Guide). Each report provides different information. The actual report data is displayed in Excel spreadsheet format. These reports can be saved as Excel documents. A brief description of the reports follows:

RO Detail Report - This is the only report which provides individual detail by claim number. This report can be requested to display by status codes (i.e., CO for completed). It is a culmination of information showing the date of the 3101 request, the date of claim entered in PIES, the end product, the address code, the individual items requested by ID code, the status of the request, and the date the status was changed.

Address Codes - This report identifies all the 3101 requests by address code (where the 3101 was sent) for the Regional Office. The report breaks down the number submitted, completed, and still pending by lapsed time.

End Products - This report identifies all the 3101 requests by end product code for the Regional Office. The report breaks down the number submitted, completed, and still pending by lapsed time.

Request IDs - This report identifies all the 3101 requests by the actual request code (what was requested) for the Regional Office. The report breaks down the number submitted, completed, and still pending by lapsed time.

Response IDs - This report identifies all the NPRC responses to 3101 requests for the Regional Office. The report breaks down the number submitted, completed, and still pending by lapsed time.

Address Codes (All Field Stations) - Same selection and display criteria as for single Regional Office but totals all Regional Offices.

End Products (All Field Stations) - Same selection and display criteria as for single Regional Office but totals all Regional Offices.

Request IDs (All Field Stations) - Same selection and display criteria as for single Regional Office but totals all Regional Offices.

Response IDs (All Field Stations) - Same selection and display criteria as for single Regional Office but totals all Regional Offices.

RO Summary Report - This report identifies the number of requests by Regional Office that have been submitted, completed, and pending according to the lapsed time.

Note: The PIES RO Detail Report is the only report that provides information specific to individual veterans. The other reports are data reports and reflect volumes. They do not have any veteran identified information. With PIES 2.0.0 version, only the RO Detail Report is available.

PIES Reports function as a batch process. This means that the culmination of requests from all offices each day will be processed at a single time, when demand on the system is less. Normally, this computer run is done via overnight processing. PIES Report is a valuable tool when used in conjunction with a WIPP User Plan in case management. Efficient utilization of this PIES feature will enable users to identify those requests where the response is completely electronic so that additional action may be taken on the claim. Where the only outstanding request is service verification, the response in PIES may be the last piece of the puzzle needed to award benefits, determine eligibility, or take final action.

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c. Although there are several PIES reports available, the RO Detail Report is the only report that provides specific reference by individual veteran requests. The other reports can be utilized for trend analysis, workload planning, and training focuses among other things. Because the reports feature does require review of the entire database in order to provide a report, it is expected that Regional Offices will exercise discretion in requesting reports and limit them to only those that are needed.

4.21 RO DETAIL REPORT

a. The report of value for management in routine pending issue reviews is the report identified “RO Detail Report”. Once the report desired is selected, the various options associated with the report can be selected. Not all options are available with all reports. In the RO Detail Report, all of the report options are available to select for creation of a report specific to the RO needs. If only the date range and category are completed, the report will reveal every request for every digit at your office. Each office will discover the combination of criteria most valuable to the office. It is expected that, at a minimum, the report selection criteria would have the overall status code defined. Specifying the overall status would produce a report covering only that status (e.g., Overall Status Code CO to display all the completed requests).

b. In all combinations of options, the report function will search the database of all PIES requests, identify those matching the selection criteria and display the information in an Excel spreadsheet. Remember that your request(s) will process in batch form and will be available at a later time. You can view, print, and/or save the spreadsheet while in Excel. The identified records will display in terminal digit order. (See "Reports Exhibits" in the PIES Participant Guide.)

Note: Remember that the RO Detail Report can only provide information on requests submitted by your regional office. You cannot select detail report information about another regional office.

c. Regional offices should establish a routine procedure following local case management practices and WIPP User Plans to check for completed 3101 requests. It is recommended that a check for completed 3101s be done once a week unless the volume of completed responses is so great that more frequent checks are desired. Several report requests can be submitted per person, per office, per day. If the volume of the requests for the entire VBA is large, some may not be processed by the next workday. In that event, the requested report status will reveal “In Process” instead of “Submitted”. In those instances, the request will be processed during the next overnight computer run.

d. Because viewing reports from PIES Report will cause removal of the reports from the database, it is important that individuals accessing the Completed Reports “save” the reports.

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SUBCHAPTER IV. SPECIAL SITUATIONS AND ALTERNATE SOURCES OF RECORDS

4.22 SURGEON GENERAL'S OFFICE (SGO) EXTRACTS

a. General. During 1988, the NPRC (address code 13) obtained magnetic tape records from the National Research Council (NRC), a private research organization, which represented extracts of approximately 10 million military hospital admission records of the Surgeon General's Office (SGO). The records cover the years 1942 to 1945 and 1950 to 1954. SGO records provide minimal information and are useful primarily in fire-related cases (par. 4.24) where more detailed service medical records are unavailable. As of May 18, 1990, NPRC completed their decoding effort. All decoded SGO extracts are available for reference and referral purposes.

b. Requests for Service Medical Records

(1) If NPRC responded to a request for service medical records after May 18, 1990, assume that any existing SGO records were included in the response. If no SGO records were received in the response and the response was sent after May 18, 1990, assume that no SGO records exist.

(2) If the last 3101 request was responded to prior to May 18, 1990, and the veteran’s service records were fire-related, submit a new PIES 3101 request using request code M06.

c. Supplemental Requests May Be Required

(1) If the following conditions exist, submit a followup request to NPRC for any SGO records:

(a) A favorable decision cannot be made on a pending claim based on the available evidence, and

(b) NPRC has not responded to a request for medical records since May 18, 1990, and

(c) A service number is available for the claimant who alleges a military hospital admission during the periods 1942-46 or 1950-54.

Note: If the veteran alleges treatment or hospitalization as early as 1940 or after 1946, and there is a possibility that treatment began before 1942 or extended after 1946, a request should be made. NPRC will search for any SGO records under the service number provided regardless of the treatment date claimed.

(2) If benefits were denied prior to May 18, 1990, and a case for which SGO records may exist (Army veteran with service during the periods 1942-45 or 1950-54) is encountered during normal processing, the regional office will reopen the claim on its own initiative to obtain any SGO records. If NPRC furnishes SGO records, review them for possible entitlement to the benefit sought. If the review does not change the prior decision, take the end product and advise the claimant of the continued disallowance.

d. Information Available from SGO Extracts

The SGO extracts of military hospital admission records allegedly reflect 100 percent of the battle injuries treated primarily at Army facilities, as well as a sample of admissions for other reasons. The records cover active duty personnel who served in the Army and Army Air Corps during 1942 to 1945. There are no records for other service branches during World War II. For the Korean service years of 1950 to 1954, records primarily pertain to Army personnel although a small percentage (approximately 5%) relate to Air Force, Navy, Marine Corps and military cadet personnel. Although the extracts of admission records generally indicate treatment at Army facilities, a small percentage of the records are for treatment at Navy, Air Force, and civilian facilities also.

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(2) The records have been made available for reconstruction of medical data. The extract may contain information pertinent to a claim for service connection for a disability and will provide the following data:

(a) Identification. The records are identifiable only by service number. As the extract was for statistical purposes, the name of the serviceperson was not made a part of the record. Other information concerning rank, arm of service, age, race, years of service and station of admission is provided. Use this descriptive information to determine whether the SGO record actually pertains to the claimant.

(b) Hospitalization data. The extract provides up to three diagnoses for the covered hospitalization. For each diagnosis, the part of the body involved and the operative procedure, if any, are also provided.

(c) Circumstances. Information concerning the type of case, circumstances leading to the hospitalization and the line-of-duty determination are provided on 1944 and 1945 records.

(d) Miscellaneous data. Includes such items as total number of days hospitalized, type of treatment facility, disposition at discharge, e.g., duty or death, and month and year of admission and discharge.

e. Information Not Found

(1) During 1988, the SGO records were made available to the NPRC as secondary source material. Through May 18, 1990, additional SGO records for the same periods were added to the original data file. This resulted because certain SGO records, initially considered indecipherable because of undocumented coding systems, were later translated from information gathered during the project. NPRC now has all SGO records that are available from the NRC. Approximately 2.1 million SGO records were not eligible for decoding because they lacked service number identifiers or were written in an indecipherable code.

(2) The extract information has been interpreted from numerical data and is sometimes not known. Under the explanation column, the entry "Not Found" indicates that information necessary to interpret the numerical data is not available. During April 1992, the NPRC last obtained some minor but additional code interpretations which they added to the translation table. Although it is possible additional backup may be obtained that will enable the "Not Found" entry to be changed, updates on code interpretations are rarely made. If information is gained which may have an impact on service record development, NPRC will contact VA. If the words "Not Found" in a category such as diagnosis are critical to a decision and NPRC responded to a request for medical records before April 1992, send a PIES 3101 to NPRC using request code M06. If the response does not provide additional information, resolve the claim based on the available evidence.

(3) See paragraph 4.27 for alternate sources of information.

4.23 FIRE-RELATED CASES

a. General. On July 12, 1973, a fire at the NPRC in St. Louis destroyed approximately 80 percent of the stored records for Army veterans serving between November 1, 1912, and January 1, 1960. Records of Army retirees who were alive on July 12, 1973, escaped the fire because they would have been stored at the AR–PERSCOM, address code 11. Also destroyed were records for approximately 75 percent of Air Force personnel with surnames "Hubbard" through Z who were discharged between September 25, 1947, and January 1, 1964, and had no retired or Reserve status.

Suspected Fire-related Cases. NPRC must resort to secondary evidence in fire-related cases. In many of these, information from the RO contains information vital to records reconstruction. Review to identify potential fire-related cases (subparagraph a above) before requesting service verification.

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Code M05. NA Form 13055, “Request for Information Needed to Reconstruct Medical Data,” should be completed by the veteran or claimant prior to initiating the PIES request in order to facilitate searches of

auxiliary records. Occasionally, information required on NA Form 13055 is available in the claims folder. In this case, do not delay submission of a PIES request in order to have the NA Form 13055 completed. Enter the appropriate information on the M05 request.

(1) If the claimant fails to furnish an NA Form 13055 and the evidence of record does not establish

whether or not there is a legal bar, disallow the claim for failure to prosecute and notify the claimant of the reason for the disallowance. Furnish notice of procedural and appellate rights.

(2) If the claimant furnishes an obviously incomplete or inadequate NA Form 13055 and there is insufficient information to complete the PIES M05 request, disallow the claim without submitting the PIES request. Fully advise the claimant of the reason for the disallowance and send the claimant another NA Form 13055.

c. Alternate Sources–Development. See paragraph 4.25 for alternate sources of evidence that may be used in these cases. Where alternative source of evidence is developed, the correspondence must avoid creating the impression that the claimant would have obtained favorable action on the claim had the records in existence at St. Louis not been destroyed by fire.

4.24 SPECIAL ACTION REQUIRED TO OBTAIN SPECIFIC SERVICE INFORMATION

a. Pre-formatted Request Codes. Pre-formatted request codes have been established for the most

common PIES 3101 requests. These codes are mapped to forward the request to the correct address code and to select the proper record for retrieval at NPRC. These codes should be utilized whenever possible. Review Addendum K for the current available request codes. Where no record code will suffice, use the free text code O99. Use of this code should be limited as it requires human intervention to process.

b. Classified Service Records

(1) If a claimant alleges at any point that disability or death occurred on active duty during classified

or covert operations, request the veteran’s personnel records in addition to medical records.

(2) If the personnel and medical records considered together do not provide a reasonable basis for a

grant or denial of service connection, advise the veteran that VA has secured all available service records and invite the veteran to submit any additional evidence in his or her possession that might support the claim. Suggest possible alternative sources for the veteran to substantiate his or her claim such as statements from members of the unit, contemporaneous letters home, and contemporaneous statements to physicians. If no additional evidence is forthcoming, adjudicate based on the evidence of record.

(3) VA does not have access to records that are still classified even if they are relevant to a pending

claim for disability or death benefits.

c. Two Years Honorable Active Service. If death occurs in service and was not in line of duty or

was due to willful misconduct, death pension benefits may be payable, provided the serviceperson completed at least 2 years honorable active service, one day of which was wartime service, prior to death. See part IV, paragraph 11.04h and 38 CFR 3.1(d). Send a request for verification of 2 years honorable active service to

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the service department using request code O99 only if a claim for DIC or death pension is received and it has been determined that death was not in line of duty or was the result of willful misconduct.

(1) In the free text section, enter the statement: “Please verify 2 years honorable active service on

enlistment prior to death.”

(2) Request verification of service using request code S01 for any prior period of service, if not

already of record, to determine if qualifying service existed prior to the serviceperson’s final enlistment.

d. Insanity. If insanity is an issue (part IV, para., 11.05), develop the case by obtaining all service medical records that are in any way pertinent. Obtain complete transcripts of any court-martial or board proceedings that may be relevant. Use the free text request O99 and enter the following statement: “The issue of insanity has been raised.”

e. Verifying Vietnam Service for Claims Involving Exposure to Herbicide Agents.

(1) It may be necessary to determine if a veteran had “service in Vietnam” in connection with claims based on exposure to herbicide agents. A veteran must have actually served on land within the Republic of Vietnam (RVN) to qualify for the presumption of exposure to herbicides. 38 CFR Sec. 3.307(a)(6). The fact that a veteran has been awarded the Vietnam Service Medal does not prove that he or she was "in country." Service members who were stationed on ships off shore, or who flew missions over Vietnam, but never set foot in-country, were sometimes awarded the Vietnam Service Medal. To verify service in RVN, you should review the veteran's DD-214 to determine if it shows such service (e.g., "Foreign Service: Republic of Vietnam"). If not, you may need to obtain and review the veteran's other personnel records (e.g., Department of the Army Form 20 or equivalent). (VAOPGCPREC 7-93.)

(2) If a veteran claims service connection for exposure to herbicide agents, and alleges service on a ship in the waters offshore of Vietnam, review the record for evidence that the ship was in the waters off Vietnam and that the veteran’s service involved duty or visitation on land. If the veteran cannot produce evidence of this, request verification from the Navy:

Naval Historical Center

Ships’ History Branch

Washington Navy Yard

901 M St., SE

Washington, DC 20374-5060

Furnish the name and number of the ship (e.g., USS Galveston (CLG 3)), and the dates that it is alleged to have been in the waters offshore of Vietnam. Follow-up telephone calls may be made after 30 days to

(202) 433-3643.

f. Verification of Service of Affiants (Buddy Statements). If it is necessary to verify the evidence

of an affiant who alleges personal knowledge of certain occurrences while in active service with the veteran, submit the PIES request with the original veteran’s information on Page 1 of the PIES request and the affiant’s name and service information on Page 2. Use request code O99 and state:

“Do the records of the department indicate that (name of affiant), (rank, organization and service number, if available), was present with his or her organization at or near (place) on or about (date)? Do the records of (name of hospital, vessel, dressing station, etc.) indicate that (name of veteran) (rank and organization) was receiving treatment for (disease or injury) on or about (date)?”

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g. Sick/Morning Reports. If it is asserted that the veteran’s name was carried on the organization

morning sick reports but the service department does not have any information as to the disease or injury alleged, make a request for this specific information using the request code O20. Show the approximate dates (limited to a maximum of three months) and the name of the organization, (company, battalion, detachment, vessel, etc.) sufficient to enable the service department to search sick logs, sick and morning reports, organization, hospital, infirmary and other records. Morning reports at NPRC are available for the following time frames:

BRANCH DATES EXCEPTIONS

Army November 1, 1912 Some units discontinued Morning Reports in

through 1974 1972, while others continued them until 1980.

Air Force September 1947 None

through June 30, 1966

h. Philippine Cases

(1) In cases involving Philippine service, it is essential to determine the exact type of service

performed to determine what benefits, if any, the claimant is entitled to receive. Many veterans with only Philippine service claim they served in the United States Army. There are basically four types of Philippine service:

(a) Regular Philippine Scouts and Insular Forces of the U.S. Navy

(b) Special Philippine Scouts

(c) Commonwealth Army of the Philippines inducted into the Armed Forces of the United States

(d) Guerrilla groups.

See part IV, chapter 34, for detailed explanations of each type.

(2) NPRC (address code 13) verifies service and provides service medical records for both groups of Philippine Scouts – Regular and Special. Scouts were provided discharge certificates similar to those issued to members of regular components of the U.S. Armed Forces. They were assigned service numbers in the 10,000,000 to 10,999,999 or 30,000,000 to 30,999, 999 range which is indicative of an overseas enlistment. Those PIES requests sent to NPRC to verify possible Scout service should use request code S01. The Army branch of service tab should be used to generate the request.

(3) NPRC (address code 13) verifies service and provides service medical records for

Commonwealth Army of the Philippines veterans and guerrillas. Neither of these groups were provided with Reports of Separation or Discharges like those who served in regular components of the U.S. Armed Forces. Evidence used to support claims is usually in the form of a statement from the Armed Forces of the Philippines or the Philippine Veterans Affairs Office. Service numbers normally contain six digits and were assigned by the Commonwealth Army of the Philippines. Many guerrillas will not have a service number. Those PIES requests sent to NPRC to verify possible Commonwealth or guerilla service should use request code O23. The Army branch of service tab should be used to generate the request.

i. Ionizing Radiation Exposure. See paragraph 5.12.

j. Asbestos Related Diseases. See paragraph 5.13.

k. Post Traumatic Stress Disorder. See paragraph 5.14.

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l. Acquired Immune Deficiency Syndrome (AIDS). See paragraph 5.15.

m. Prisoners of War. See subchapter VIII and paragraph 5.16.

4.25 ALTERNATE SOURCES FOR SERVICE AND MEDICAL RECORDS

a. General. In those cases in which records needed to resolve the claim cannot be secured from the service department addresses shown in Addendum A, assist the claimant in obtaining evidence from alternate or collateral sources. See paragraph 4.31.

b. Proof of Service and Character of Discharge. Alternate sources for proof of service and character of discharge are listed below. The regional office must determine which sources are most reliable and the weight to be given to any evidence acquired.

(1) Follow-ups with veterans or beneficiaries requesting another search of their personal papers for a copy of discharge or other evidence of military service.

(2) County courthouse for possible service records.

(3) State unemployment office for service information.

(4) State Adjutant General's office for any available records. Several states have published rosters or registers listing veterans who served in World War I, World War II and the Korean conflict. These publications also contain complete service data for each veteran. See Addendum F for the addresses.

(5) State historical commissions for any available records of military service.

(6) Office of Personnel Management if the veteran was employed by a Federal or State agency. If employed by a private concern, check with the employer to determine if a copy of the discharge paper was furnished at time of employment.

(7) Social Security Administration for assistance in obtaining verification of service information.

(8) Railroad Retirement Board if the veteran was employed by the railroad.

Note: Remember to review BIRLS thoroughly for verification of service information. The VID Screen must be reviewed to determine the existence of a VERIFIED record which can provide adequate service verification. See part II, paragraph 6.05.

c. Service Medical Records. The following is a partial list of alternate documents that might substitute for service medical records in decisions relating to service connection for a disability or for cause of death:

(1) VA military files.

(2) Statements from service medical personnel.

(3) "Buddy" certificates or affidavits.

(4) State or local accident and police reports.

(5) Employment physical examinations.

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(6) Medical evidence from hospitals, clinics and private physicians by which or by whom a veteran may have been treated, especially soon after separation.

(7) Letters written during service.

(8) Photographs taken during service.

(9) Pharmacy prescription records.

(10) Insurance examinations.

d. Pay Grade for DIC. See the procedures set forth in paragraph 2.14c with respect to development in DIC cases in those cases in which pay grade is an issue. If the pay grade is of record on official documents, use it for award action subject to later certification, if necessary, by the Secretary of the service department concerned. See Addendum A for address codes for pay grade information.

e. Prior VA Claim. If there is any indication that a claim for VA benefits has been previously filed, use BIRLS to the fullest extent in an effort to locate the veteran's records. Other VA records available to regional offices include:

(1) Station monthly microfilm pay tape.

(2) Philadelphia VA Regional Office and Insurance Center insurance index files.

(3) VISTA at the medical center which services the veteran’s place of residence.

f. Dependents' Records

(1) Medical treatment records created by service departments for treatment rendered to military dependents may be difficult to locate. Records for dependents follow them from duty station to duty station. If the dependent doesn't receive treatment for three years, the records are retired even though the parent or spouse may still be in service in the same place. They are retired to National Personnel Records Center (NPRC). Records are sent to code 75 (NPRC-CPR) for dependents of Army and Air Force servicemembers and for dependents of Navy and Marine Corps servicemembers who were treated at Army and Air Force facilities. Records of dependents of Navy and Marine Corps servicemembers treated at Navy or Marine Corps facilities are retired to code 13 (NPRC-MPR).

(2) Do not use PIES or a paper 3101 to request dependents' treatment records. Dependents records should be requested with a letter which specifically identifies the records needed: inpatient, clinical, or mental hygiene records, etc., and the treatment location and approximate treatment dates. A release from the dependent (or the parent or guardian for a child) must be included with the letter. Be sure to include the complete name and social security number (SSN) of the serviceperson and the dependent. If treated as an inpatient, the claimant must provide the year(s) of treatment and the full name of the last facility at which treated. If treated as an outpatient, the claimant must provide the last year of treatment and the full name of the last facility at which treated. Occasionally, NPRC may request additional information which must be supplied before they can conduct further searches.

g. Servicepersons Married to Each Other. Servicepersons married to one another will each have individual military medical records under their own SSN. If one is separated from active duty, the service medical records (SMRs) for that individual will be transferred to the VA Records Management Center (RMC). Records may then be created with that individual as a dependent of the remaining serviceperson. If so, request those records as described in subparagraph f(2).

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(1) If the separated serviceperson enters a reserve unit, and remains eligible for medical care as a dependent, the active duty medical record will go to the RMC, and two "new" medical records will exist, one with the reserve unit and the other as a dependent of the active duty member. In this case development may be required through these separate sources.

(2) If the separated person is a retiree, he/she has independent eligibility to medical care. Consequently, there will be a retiree record created by the service department and the active duty SMRs are sent to the RMC.

4.26 REQUESTS FOR SERVICE RECORDS FROM MEDICAL CENTERS

a. General. It is VA policy that only regional offices request service records. VA medical facilities will request RO assistance if they need service verification, clinical records or other evidence from the military.

b. Request from Medical Center Received

(1) If service records are required by a VA medical center, it should request the records through the regional office on VA Form 10-7131, “Exchange of Beneficiary Information and Request for Administrative and Adjudicative Action.”

(2) If only verification of service is requested and no claims file exists, create a BIRLS record using the BADD command. Request verification of service via PIES request code S01. When verification is received, update BIRLS and notify the originating medical facility.

(3) If a request for service medical/dental records or character of discharge determination is received from a VA medical center and no claims file exists, establish a claims file. When the service records are received, process any needed adjudication determinations and file the documents in the claims folder. Notify the medical facility of the determination. If the medical facility requests to review the records, temporarily transfer the entire file to the medical center. Annotate the COVERS transmittal: “File temporarily transferred per 10-7131 dated [MM/DD/YYYY]. Return entire file when your action is complete."

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SUBCHAPTER V. CONTROL AND FOLLOWUP PROCEDURES

4.27 ROUTINE CONTROL AND FOLLOWUP PROCEDURES

a. Controls. With the establishment of the Personnel Information Exchange System (PIES)

program, the need for follow-up actions has been minimized. Follow-ups are not to be made with requests sent to the National Personnel Records Center (NPRC), address code 13, because the status is continually available via PIES. As more of the records centers are added to the electronic link, the need for follow-ups to those locations will also be minimized or eliminated.

(1) NPRC (address code 13). Regular reviews of the RO Detail Reports will disclose those requests

that have been completed and closed out (status code CO). (See paragraph 4.20.)

(2) AR-PERSCOM (address code 11). Establish a 90-day suspense date for requests for service records to AR-PERSCOM.

(3) All Other Records Centers. Maintain a 60-day suspense on initial requests for service records to all other records centers.

b. Review of Record Before Initiating a Follow-up Request. Before initiating a follow-up request for AR-PERSCOM and other records centers (not NPRC), carefully review the original PIES 3101 request to ensure the request is still valid, complete, and directed to the correct address code. (See Appendix A.) The PIES programming addresses the request by analyzing the information on the request (name veteran served under, branch of service, reserve status, service number, request code, etc.). Any erroneous information can cause an erroneous address code to be assigned.

c. Followup Procedures. For those records centers not on electronic link (see paragraphs a(2) and

(3)), promptly follow-up at the expiration of the control period. Make a copy of the original PIES 3101 request. At the top, place the annotation “This is a follow-up. No response has been received to date.” Do not use a locally prepared VA Form 3101. Annotate the file to reflect the date the follow-up was released. See paragraph 4.30 for special follow-ups by the military records specialist.

(1) Set a 30 day diary when the second request is made.

(2) When a response indicates the request was forwarded to another (different address code) service

department for action, direct the follow-up to the new service department.

(3) Notify the claimant of the difficulty in obtaining the service records and ask the claimant to

submit any records he or she has. At the same time, provide the claimant with an update about any other requested evidence VA has not received.

Note: If the service department states clearly that it does not have the requested records and does not indicate that it expects to receive them, and if all alternative sources of the records have been exhausted, see paragraph 4.30.

(4) Make a follow-up request for National Guard or Reserve unit service records by telephone 60

days from the date of the original request. Document the results of the contact on VA Form 119, “Report of Contact.” If records are expected to be sent, control for 30 more days.

Note: If the claimant is an active member of a National Guard or Reserve unit and no response has been received, also contact the claimant. Advise the claimant of the records needed and that they should be sent within 30 days. Ask the claimant to have the unit send the records directly to VA. Tell the claimant that

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VA has been unable to secure the records from the unit and that the records are required to complete processing of his or her claim.

(5) If only partial records are received and the missing records are required for adjudication of a

claim, prepare a new PIES request using request code O99, acknowledging the records received and specifying the additional records required. If the veteran is a member of the Guard or Reserve, contact the unit by telephone to verify that it has no other records. Document the results of the call on VA Form 119.

(6) If at least 120 days have elapsed from the date of an initial request, handcarry the claims folder to

the military records specialist for special follow-up. See paragraph 4.30.

(7) Follow-up requests to service records centers by telephone should be made only by the military

records specialist. See paragraph 4.29.

d. AR-PERSCOM Procedures

(1) AR-PERSCOM reports that it takes 120 days for separation points to forward records to them and have those records available to respond to requests. In some cases, although data in their tracking systems indicates the record is "in transit," actual receipt of the record takes longer than 120 days and in a few cases, it is never received. When a record is received, it is removed from its "in transit" status. AR-PERSCOM will return all 3101s with an annotation "resubmit in 90 (or 120) days" when their system shows the record has been "in transit" less than 120 days.

(2) Records requested by VA which have been "in transit more than 120 days" will be "special searched." If they are not found, AR-PERSCOM will return the 3101 request to the RO annotated "Record Not at AR-PERSCOM."

(3) Records requested by ROs which AR-PERSCOM determines should be in its possession will be requested from file. If they are not found, they will be "special searched." If they are still not found, AR-PERSCOM will annotate the 3101 "Record Not Found at AR-PERSCOM" and return it to the RO.

(4) If either of the annotations shown above in subparagraphs (2) or (3) is found on a 3101, follow the procedures in paragraph 4.30c.

4.28 SPECIAL FOLLOWUP BY THE MILITARY RECORDS SPECIALIST

Each regional office will designate an employee as the military records specialist. This person must possess expertise in this area and must be thoroughly familiar with this chapter. The military records specialist is responsible for local training on military records requests and serves as the contact point with service departments if it is necessary to request records from service departments outside normal channels. The Records Management Center (RMC) maintains a list of military records specialists and alternate military records specialists. Any change to the list should be sent by e-mail to the following mailbox: VAVBASTL/RMC/DIR.

If e-mail is not available, changes may be mailed to:

Director (00)

VA Records Management Center

PO Box 5020

St Louis, MO 63115-0020

DO NOT OPEN IN MAILROOM

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The Records Management Center will be responsible for providing these changes to the Chief, Veterans Services Directorate (DARP-VS), Army Reserve Personnel Command (AR-PERSCOM). A copy will also be sent to the Compensation and Pension Service (212A) at VACO via e-mail to VAVBAWAS/CO/212A.

Note: Each station may designate one alternate military records specialist. References in this chapter to "the military records specialist" include the alternate.

a. Criteria for Followup by Military Records Specialist

(1) Handcarry the claims folder to the military records specialist for further followup action if all of the following conditions have been met:

(a) At least 60 days have elapsed from the date of an initial request, and

(b) At least one followup request has been sent, and

(c) The control period on the followup has expired, and

(d) The response from the service department has been clearly inadequate or nonexistent.

Note: If service records are needed in situations involving emergency hospital admissions or disability claims of a very serious nature (carcinoma, paraplegia, severe burns, etc.), identify the claims folder at the development stage of adjudication. Do not submit a PIES 3101. Instead, handcarry the claims folder to the military records specialist for special handling procedures.

(2) If the required records should be at AR-PERSCOM or NPRC, the military records specialist will

telephone the VA Liaison office (VALNO) at (314) 538-4278 or e-mail VAVBASTL/RMC/LNO with the veteran’s identifying information. If e-mail is used, the request should be categorized as “high priority.”

(3) If the required records should be at a location other than AR-PERSCOM or NPRC, use Addendum C to determine the address code where the records should be located and the applicable telephone number. Special followup by the military records specialist normally consists of one or more telephone calls to the appropriate address code. The military records specialist should carefully document the telephone call (date, person contacted, phone number, what was said, etc.).

(4) The military records specialist should not initiate any fax or phone followups without first

determining that the prior development was correct based on the information in this chapter and other published directives from Central Office. If the military records specialist determines that the prior development was not correct (e.g., sent to wrong address code, inadequate identifying information furnished), he or she should initiate a new PIES 3101 request on VA Form 119.

b. Followup to NPRC. No follow-ups on pending PIES 3101 requests are appropriate since the status of individual requests are readily available by accessing PIES. If the PIES request has been pending more than 120 days without response, the military records specialist should e-mail VA VBASTL/RMC/LNO with the subject line displaying “veteran’s last name, first name, and claim number or Social Security number.” Explain this is a follow-up to a PIES request which has been pendiing at NPRC more than 120 days. The e-mail should show the date the initial request was made.

EXAMPLE: A negative final response from NPRC should be similar to the following – “The National Personnel Records Center has conducted an extensive and thorough search of the records among our holdings. We were unable to locate the records identified in your request. On the basis of the request

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presented to NPRC, we have concluded that the records either do not exist, that NPRC does not have them, or that further efforts to locate them at NPRC would be futile.”

c. Follow-up to AR-PERSCOM. When a PIES request to address code 11 has been pending more than

120 days without a response, the military records specialist should e-mail VAVBASTL/RMC/LNO with the subject line displaying “veteran’s last name, first name, and claim number or Social Security number.” Explain this is a follow-up to a PIES request which has been pending at AR-PERSCOM more than 120 days. The VA Liaison Office (VALNO) will investigate and provide a status response.

d. Telephone Followup to Other Address Codes. Telephone numbers for records centers other than NPRC (code 13) and AR-PERSCOM (code 11) are in Addendum C. If you are unable to get through on the listed numbers because they are disconnected, or are referred to different numbers, contact Compensation and Pension Service (212A) at VAVBAWAS/CO/212A with this information.

e. Followup to Separation Points. In some instances, the records center which should have a veteran's records will indicate that the desired records were never received from the separation point. If this occurs and the veteran has been out of service long enough that the records should have reached the

records center, ask the records center if it can furnish specific information about a possible contact at the separation point. (Some records centers have tracking systems that will reveal this information.)

(1) If the records center is unable to furnish a telephone number to call at the separation point, a number may be obtained from telephone directories or from various publications such as the U.S. Forces Travel Guide which list addresses and phone numbers of military facilities.

(2) Once a telephone number for the separation point has been determined, use it in an attempt to locate the desired records. Carefully document any information obtained from the separation point and, if necessary, initiate further followup with the records center.

(3) Do not write to separation points (unless requested to do so by the separation point as a followup to a telephone communication). Separation points do not routinely respond to VA records requests and the likelihood that a written request to a separation point will produce results is slight.

(4) If the records center indicates that the veteran's records never left the separation point and you cannot determine the location of the separation point from evidence of record, ask the claimant to furnish this information. Then contact that military facility to see if the records are still there. For Navy veterans, occasionally the medical records may be left on the last ship assigned. Contact the land based office to request a search of the ship’s medical record holdings.

f. Telephone Followup to Units. A list of addresses and telephone numbers for the State Adjutants General is provided in Addendum F. If you are unable to get through on the listed numbers, contact Compensation and Pension Service (212A) at VAVBAWAS/CO/212A. Local telephone contact with Reserve units may also result in a list of telephone numbers and contact points throughout the state. These lists and contact points will be locally maintained.

g. Criteria for Requesting Central Office Assistance

(1) If special followup by the military records specialist has been unsuccessful, and there is evidence in the file or alleged by the veteran of unusual circumstances which might indicate a reason why records might not be in the normal records flow, contact Compensation and Pension Service (212A) via e-mail to VAVBAWAS/CO/212A for assistance. Examples of such circumstances are requests for records of general or flag officers, allegations of classified information, etc.

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(2) When the military records specialist contacts Central Office for assistance, he or she will be asked to furnish (preferably by e-mail) a complete history of the case showing the date of each request, the response (if any), the names and telephone numbers of the persons involved in any telephone contacts, and the results of any telephone contacts. The military records specialist should also be prepared to mail or FAX copies of all PIES 3101 requests and responses on the case and copies of VA Forms 119 documenting any telephone contacts. Do not send this documentation unless specifically asked to do so by 212A.

Note: If any addresses or telephone numbers listed in this chapter or appendices are incorrect, contact (212A) at VAVBAWAS/CO/212A.

4.29 PROCEDURE WHEN SERVICE RECORDS UNAVAILABLE

a. Although VA will do all it can to assist the claimant in establishing entitlement to benefits and to make a thorough and complete effort to get the veteran's records, the ultimate responsibility for furnishing evidence needed to perfect the claim rests with the claimant.

b. The claim must remain pending until a definitive response is received from the service

department. If the service department indicates that it cannot locate the service records, inform the veteran of what evidence we were unable to secure and the efforts made to secure the evidence. Then make a decision on the evidence of record.

(1) The finding should establish that: all procedures have been correctly followed; evidence of

written and telephonic efforts to obtain the records are in file; all efforts to obtain the needed military information have been exhausted; further efforts are futile and that, based on these facts, the record is not available.

(2) The finding should give the specifics of the efforts to obtain the service records. Prepare the

findings on a separate page to be filed in the claims folder.

(3) After the finding is signed, the claimant will be contacted telephonically. Fully advise the claimant and give the claimant 10 days to furnish the evidence. The claimant should be advised of the lack of response and of the requirement that he/she submit any relevant documents in his/her possession. Further advise the claimant that a decision will be made on the evidence of record if the requested evidence is not received within 10 days from the date of the conversation. Document the results of the telephone contact on VA Form 119. If telephone contact is not made, provide written notification of this information to the claimant. The 10 day time limit for reply will be based on the date of this letter.

c. Only when the service department indicates that all efforts to locate the records have been exhausted and the request to the claimant does not result in receipt of other evidence can the case be routed to the rating activity for final rating action. The rating must outline the efforts made to obtain the records and must include evidence identified by the claimant, but not of record. The claimant will also be advised that if the service medical records are subsequently received, the claim will be reconsidered as though the evidence was of record at the time of the original claim with date of claim protection.

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SUBCHAPTER VI. MERCHANT MARINE SERVICE

4.30 ESTABLISHING VETERAN STATUS BASED ON MERCHANT MARINE SERVICE

Note: Public Law 95-202, approved active duty service for certain World War II Merchant Marine seamen effective January 19, 1988. Merchant Marine seamen who served under the Coast Guard, Naval Transportation Service or Army Transportation Service in active oceangoing service during the period from December 7, 1941, to August 15, 1945, are eligible to receive discharge certificates. Each of these services will issue a DD Form 214, “Certificate of Discharge or Release from Active Duty,” or a DD Form 1300, “Report of Casualty,” as applicable. Section 402 of Pub. L. 105-368 provides that the “qualified service” of certain merchant mariners between August 16, 1945, and December 31, 1946, is deemed active duty service for purposes of the following benefits: burial flags, burial allowance for certain indigent wartime veterans, plot allowance payable to a State for a burial in certain “state-owned” cemeteries or cemetery sections, headstones and markers, interment in national cemeteries, markers in memorial areas of national cemeteries, and markers in memorial areas of Arlington National Cemetery. Merchant Marine service after August 15, 1945, does not establish entitlement to compensation and pension.

a. A claimant must secure a DD Form 214 or DD Form 1300 before VA can initiate development of a claim. Advise claimants that they must complete and sign DD Form 2168, “Application for Discharge of Member or Survivor of Member of Group Certified To Have Performed Active Duty with the Armed Forces of the United States,” to apply for a DD Form 214. Depending on the type of alleged service, claimants should send the DD Form 2168 to one of the following address codes:

(1) Merchant Marine seamen who served as civil servants employed by the U.S. Army Transport Service which was later redesignated as the U.S. Army Transportation Corps, Water Division:

Commander

U.S. Army Reserve Personnel Command

(AR-PERSCOM)

ATTN: DARP-PAS-EN

9700 Page Boulevard

St. Louis, MO 63132-5200

(2) Merchant Marine seamen who served as civil servants employed by the Naval Transportation Service:

Special Assistant for Liaison and Correspondence

(NMPC-036)

Naval Military Personnel Command

Washington, DC 20370-5036

(3) Merchant Marine seamen who were employed by the War Shipping Administration or Office of Defense Transportation or their agents and documented by the U.S. Coast Guard or Department of Commerce, i.e., Merchant Mariner's Document/Certificate of Service:

Commandant (GMVP-1/12 MMVS)

United States Coast Guard

Washington, DC 20593-0001

Note: If the Merchant seaman is deceased, the applicant must submit a certificate of death with the DD Form 2168. An applicant will have to resubmit DD Form 2168 and supporting documentation to establish periods of duty other than those which are shown in item 18 (REMARKS) on the DD Form 214.

(4) Advise a claimant that no action can be taken on his or her application for VA benefits until the

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DD Form 214 is received.

(5) The original or a certified copy of the DD Form 214 should be submitted in connection with a claim for benefits.

b. During CEST processing, enter the beginning and ending dates of the three earliest voyages to update BIRLS. If the three earliest voyages do not satisfy the minimum 90-day active duty requirement for pension, enter the three longest voyages.

c. The Coast Guard will certify 90 days of service in certain cases without any periods if there is proof of sailing on oceangoing vessels but the records of vessels or dates of voyages are incomplete due to the capacity served, i.e., Captain, Coast Pilot, etc. The Coast Guard has sufficient evidence to substantiate eligibility in each case. Enter RAD as 8-15-45 or date of death, if earlier.

(1) Each DD Form 214 must contain: name, department, component, branch (U.S.C.G.--Merchant Marine), Social Security number, date of birth, mailing address after separation, type of separation (DISCHARGE), character of service (HONORABLE), separation authority (Public Law 95-202) and separation reason (END OF HOSTILITIES).

(2) The following statements must be shown on the discharge document in item 18, REMARKS:

"The above individual falls into a special class of World War II merchant mariners. The complete sea service records for these individuals, which indicate specific sailing dates and vessel names, cannot be located due to their no longer being in the Federal records system; were lost with the ship; or the individual served aboard the ship in a capacity for which official records were not kept."

"Based on the information available, the Coast Guard certifies that the above individual has at least 90 days of service aboard oceangoing vessels during the period between 7 December 1941 and 15 August 1945."

d. The VADS Unit at the Austin Data Processing Center (part II, paragraph 6.05d(25)) enters "DEV" as the separation reason into BIRLS to suppress a package of applications which is sent to recently discharged veterans. If "SAT" is shown in item 26 (Separation Code) on the DD Form 214, update BIRLS to reflect the correct entry. Do not submit a 3101 request to clarify this discrepancy since all are SAT.

e. The DD Form 214 issued will show EOD as December 7, 1941, or the date of the earliest voyage. The RAD will be the date of the completion of the last voyage or August 15, 1945. The actual voyages and inclusive dates of each voyage will be shown in the REMARKS block, item 18. If all of the voyages cannot be entered in the REMARKS block, an attachment sheet to the DD Form 214 will be provided. For computation of service, only the actual dates of each voyage are considered as qualifying active duty for VA purposes. Do not use the information provided in item 12 (Record of Service) to determine an applicant's entitlement to VA benefits.

f. If the death of the Merchant Marine seaman occurred during service, DD Form 1300, “Report of Casualty,” will be issued in lieu of DD Form 214. The DD Form 1300 should show the equivalent military pay grade. In all other cases, request pay grade verification by following the instructions in Addendum A.

4.31 SERVICE RECORD REQUESTS FOR MERCHANT SEAMEN

Note: Service medical records will be difficult to obtain. Medical records will not be as detailed or as complete as those VA has historically received from previously established military components (Army, Air Force, Marines, Navy, etc.).

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a. General. See Addendum A, Item F. When requesting medical records, pay grade data or other records, send a copy of the DD Form 214 with the request or include the following information (which should appear on the DD Form 214) in the REMARKS section:

(1) Identification number of the vessel.

(2) Name of the vessel.

Note: The names of vessels may not be sufficient for identification of service records since the names of the vessels could have been changed. The identification number was always retained.

(3) Veteran's Social Security number (not in death cases).

(4) Z number (if available).

Note: The Z number was a number assigned to Merchant Marine seamen comparable to the service number assigned to military service members.

(5) Veteran's date of birth.

b. Medical Records for Merchant Seamen who Served Under Jurisdiction of the Coast Guard. It is not possible to request "service medical records" for this type of claimant. Merchant Seamen who served under the jurisdiction of the Coast Guard do not have a medical file as such. However, these seamen were eligible to receive medical treatment at U.S. Public Health Service (USPHS) hospitals, and the USPHS does have microfilm copies of certain medical records. If the claimant alleges treatment at a USPHS hospital and the claimant can furnish the minimum information required under subparagraph (3) below, send a request to the USPHS. If there is no allegation of treatment at a USPHS facility, do not send a request for records to the USPHS.

(1) Make the request manually using the letter found in Addendum I. A VA Form 21-4142, “Authorization and Consent to Release Information to the Department of Veterans Affairs,” must be attached.

(2) Send the request to the following address:

National Hansen's Disease Program

Health Data Center

1770 Physicians Park Drive

Baton Rouge, LA 70816

Note: Where priority/expedited assistance is required, telephone 1-800-642-2477 or (225) 756-3773.

(3) The following information should be furnished before the U.S. Public Health Service can search for treatment records:

(a) The veteran's full name and any aliases. (required)

(b) The veteran’s Social Security number. (if known)

(c) The veteran's date of birth. (required)

(d) Clinic/hospital where the veteran was treated (at least the State). If more than one, list all. (required)

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(e) Month and year of treatment (at least the decade). (required)

(f) Veteran’s Z number. (if available)

(g) Any other identifying information.

(4) If you are unable to furnish the minimum required information set out in subparagraph (3) above, do not send a request to the USPHS. Review subparagraphs d and e below to determine if there is any possibility that records may be available from National Archives or the Office of Maritime Labor and Training. If not, route the claim to the rating board for final rating action. The rating must outline the efforts made to obtain the records. The letter to the claimant must explain that a search cannot be conducted for medical records without the minimum required information outlined in subparagraph (3).

Note: USPHS must search reels of microfilm to find treatment records. Therefore, the more specific information furnished, the greater the likelihood the desired records will be located. All correspondence should include the name and telephone number of the requester.

(5) The USPHS will not have records for veterans who were treated at military or other facilities overseas. If a claimant alleges overseas treatment, obtain as much identifying information about the facility as possible from the claimant such as complete name, address, location, nation running the facility, dates treated and for what conditions treated. If it is a U.S. facility, send the PIES 3101 request to NPRC asking for the clinicals using C01. If it is not a U.S. facility, write to it enclosing a release of information form signed by the claimant explaining what is needed and why. (See paragraph 4.18e.)

(6) The USPHS does not have records of medical treatment furnished on board a ship. If the claimant alleges treatment for injury or illness on board ship, logbook development may be appropriate. See subparagraph d below.

c. Medical Records for Merchant Seamen who Served Under Jurisdiction of Army or Navy. The information in subparagraph b above applies only to merchant seamen whose service was documented by the Coast Guard. Although the majority of merchant seamen did serve under the jurisdiction of the Coast Guard, a small number served as civil servants employed by the U.S. Army Transport Service (later designated the U.S. Army Transportation Corps, Water Division) or the Naval Transportation Service. The Public Health Service probably will not have medical records for these merchant seamen. Use the letter in Addendum H to request medical records for merchant seamen whose service was documented by the Army or Navy.

d. Logbook Development

(1) Captains of Merchant Marine vessels employed by the Coast Guard maintained daily logbooks. The logbooks are now in the possession of the National Archives and Records Administration's regional archives. These logbooks are not the traditional ships' logs often referred to as "deck logs," in which masters recorded daily entries concerning the position and operation of the ship. Logbooks in the regional archives are those issued to masters of vessels in accordance with federal laws and regulations passed to protect the health and welfare of merchant seamen. Entries were required to record offenses and desertions punishable by forfeiture of wages, and injuries or illnesses of crew members. Logbooks in the regional archives do not usually contain descriptions of wartime actions in which the vessel was involved. If the claimant alleges a combat-related injury, write to the Office of Maritime Labor and Training (subparagraph e below) before initiating logbook development with the National Archives.

(2) These logbooks may contain entries pertaining to injuries suffered by Merchant Marine seamen. Do not routinely initiate logbook development. However, if the claimant alleges an injury or illness

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occurring on board ship, send a letter to the National Archives requesting a logbook search for evidence of the illness or injury. No release of information authorization is required.

(3) The letter to National Archives should be accompanied by a photocopy of the veteran's DD 214 and should include the following information:

(a) The full name under which the veteran served.

(b) The full name of the vessel on which the incident occurred.

(c) The name of the port where the voyage ended.

(d) The approximate dates of the voyage (month and year).

(4) See Addendum D for addresses of National Archives regional archives.

Note: If the voyage started at one port and ended at a different port, write to the NA regional archives for the port where the voyage ended.

(5) In addition to furnishing information about shipboard injuries and illnesses to VA, the National Archives will furnish individual seamen or their surviving dependents with one set of copies, free of charge, of the logbook entries needed to verify the seaman's service in the Merchant Marine between December 7, 1941, and August 15, 1945. Claimants should state in their requests that the information sought is needed to obtain financial benefits from VA. NARA will continue to request reimbursement for extra copies of the necessary logbook pages, as well as for copies of logbook materials not needed to verify service in the Merchant Marine during World War II. NARA has frequently been requested to provide copies of entire logbooks; charges will be made for such requests.

(6) Since logbooks contain information relating to many individuals which may be of a personal nature, they are subject to privacy restrictions. Therefore, entries which relate to medical or disciplinary matters concerning individuals other than the subject of the inquiry may be deleted.

(7) Vessels registered in foreign countries (for example, Panama) were not required to maintain and turn in logbooks. This is the case even if the vessel was owned by a United States company and operated under War Shipping Administration control. Neither the Coast Guard nor the National Archives will be able to provide crew lists for such vessels.

(8) Logbooks are not available for merchant seamen who were employed by the U.S. Army Transportation Corps or by the Naval Transportation Service. See paragraph c above for developing medical evidence on claimants who were employed by the U.S. Army Transportation Corps or by the Naval Transportation Service.

e. Evidence of Combat-Related Injuries from Office of Maritime Labor and Training

(1) The Office of Maritime Labor and Training in the Department of Transportation maintains records of citations and medals issued to WW II Merchant Marine seamen. Of particular interest to VA is the Mariners Medal which was authorized for combat-related injuries (similar to the Purple Heart).

(2) If a claimant alleges a combat-related injury which cannot otherwise be documented, send a letter to the Office of Maritime Labor and Training at the address shown below requesting a review of their files for evidence that the veteran received a medal. No release of information authorization is required. If the veteran did receive a medal, a copy of the citation should be of record. It will contain details of the incident. Note that the Mariners Medal was not given for non-combat injuries. 4-VI-5

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Office of Maritime Labor and Training

Maritime Administration

Room 7302 (MAR 250)

Department of Transportation

Washington, DC 20590

(3) Requests to the Office of Maritime Labor and Training should be accompanied by a photocopy of the veteran's DD 214. The following information should be provided if not shown on the DD 214:

(a) The name under which the veteran served.

(b) The veteran's "Z" number.

(c) The veteran's WW II home address (city and state).

f. POW Status

(1) Time spent as a POW does count as qualifying service for Merchant Marine seamen. The Coast Guard (address code 52) has most of the names of those who were held captive. The names were obtained from a list compiled by the Coast Guard and the Department of Defense in 1950.

(2) If verified POW service dates are available, they should be listed in the REMARKS block of the DD 214, above the actual voyages/dates of each voyage.

(3) The date the voyage began (during which the veteran was captured) to the date the veteran was repatriated is one period of service. This is the only instance that the end service date (RAD date) on the DD 214 can be later than 8-15-45.

Example: John Smith served on the ship, Ft. Benjamin Harrison. The voyage began 12-7-41, and the crew was captured and held until 9-13-45. Mr. Smith was repatriated on 9-13-45. His service from 12-7-41 to 9-13-45 is considered one period of service.

g. U.S. Maritime Service. The NPRC (address code 13) has records of Merchant Marine seamen trained by the U.S. Maritime Service. Furnish the seaman's name used during training, date of birth and Social Security number to access this information. Use the Army branch code on PIES 3101 requests for this information.

h. Marine Index Bureau, Inc. (MIB). Some records may also be obtained from the MIB. This is a private agency. The claimant must request the records directly from MIB. VA regional offices should not send requests directly to MIB. MIB charges a fee of $25.00 for making the records search; that fee must be paid by the claimant. MIB cannot guarantee that records on file at their bureau will be acceptable to VA as proof of eligibility for VA benefits, nor that any records pertaining to the veteran's wartime service are actually on file.

(1) The claimant should contact the MIB directly and request the forms for documentation of sea service records which may be on file at the Bureau. A sample letter is given in Addendum E to notify the claimant of the MIB records.

(2) The claimant will need to provide: the veteran's complete name, date of birth, place of birth, Social Security number, Z or Book (Bk) number, current mailing address and any known mailing addresses during the period 1941 to 1946.

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(3) The MIB address is: Marine Index Bureau, Inc., 67 Scotch Rd., Ewing, NJ 08628.

(4) Do not routinely notify the claimant of MIB as a possible resource while the claim is still pending. However, if all other development has failed to produce records in support of the claim, incorporate the language of Addendum E into the disallowance letter. Advise the claimant that the claim can be reopened if the MIB search proves successful.

Continuity of Treatment. If a disability compensation claim is filed, ask the claimant to provide evidence of continuity of treatment for the alleged conditions from date of separation to present. The disabilities claimed must have occurred during actual voyages, not merely while attached to a vessel. Advise claimants that difficulty may be encountered in obtaining medical records and that they should provide as detailed information as possible.

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SUBCHAPTER VII. EXCHANGE OF RECORDS WITH DISCHARGE REVIEW BOARDS AND

BOARDS FOR CORRECTION OF MILITARY RECORDS

4.32 EXCHANGE OF RECORDS BETWEEN VA AND THE U.S. ARMY BOARD FOR CORRECTION OF MILITARY RECORDS AND THE ARMY DISCHARGE REVIEW BOARD

a. A memorandum of understanding exists between VA and the Department of the Army, regarding the exchange of military personnel/medical records between VA and the Department of the Army Review Boards Agency (DARBA). The memorandum also provides for furnishing photocopies of the military records in VA custody to DARBA. These procedures are designed to prevent lengthy delays in the management of claims for both agencies.

b. Observe the following procedures:

(1) VA Records Management Center (RMC), St. Louis, Missouri, is solely responsible for requesting military personnel and medical records from DARBA. The RMC’s Liaison section located at NPRC will review and distribute these requests as appropriate.

(2) The regional office should submit the request for records to the RMC via PIES. The RMC will

identify who has custody and will obtain copies of the required records. Use 13 as the address code for the PIES request.

(3) Before a request is sent to the DARBA, the RMC will obtain verification that the needed records

are not located at the National Personnel Records Center (NPRC) or the U. S. Army Reserve Personnel Command (AR-PERSCOM), St. Louis, MO. If the records are with the Army Discharge Review Board (ADRB) at code 11, RMC personnel will contact them in person, obtain the records from them, hand carry the records to the PIES unit so that the PIES case can be completed, and return the record to ADRB.

(4) If the records are at DARBA, the RMC will send a request for needed records to:

Review Boards Agency

1941 Jefferson Davis Highway

Second Floor

Arlington, VA 22202-4508

If an emergency situation arises, the RMC can request needed records from DARBA via telephone:

(703) 607-1600.

(5) The needed records will be sent directly to the regional office. If DARBA does not have the record and it has not been returned to code 13, the regional office will be furnished a reply to that effect.

c. DARBA will direct its requests for the return of military/personnel records to the RMC.

(1) The RMC will determine the location of the appropriate claims folder and forward the request from DARBA to the regional office having jurisdiction of the file. If the records are at the RMC, clear photocopies of the records will be made and forwarded to DARBA. The original records will remain at the RMC.

(2) A reference slip (OF 41, “Routing and Transmittal Slip”) will accompany the request to the regional office, asking that the regional office respond directly to the DARBA. If the records are not in the claims folder, a negative response will also be required.

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(3) The regional office will review the file and forward clear photocopies of the requested records to DARBA. The regional office will retain the originals in the claims folder. Copies of all military/personnel records must be furnished within 15 days of receipt of the request.

(4) If an undue delay is expected before the records are available (e.g., the file is at the Board of Veterans' Appeals or with the General Counsel in conjunction with an appeal to the Court of Appeals for Veterans Claims), send a statement to the DARBA to that effect.

4.33 EXCHANGE OF RECORDS BETWEEN VA AND THE U.S. AIR FORCE DISCHARGE

REVIEW BOARD

a. A memorandum of understanding exists for the purpose of exchanging records between VA and the Air Force Discharge Review Board (AFDRB). Its purpose is to secure copies of military personnel/medical records and to return military personnel/medical records in VA custody.

b. Observe the following procedures:

(1) The RMC has sole responsibility for requesting records from AFDRB. The RMC’s Liaison

section will review and distribute the requests as appropriate.

(2) The regional office should submit a request for records to the RMC via PIES. The RMC will

identify who has custody and will see that copies of the required records are provided. Use 13 as the address code for the PIES request.

(3) Before a request is sent to the AFDRB, the RMC will obtain verification that the needed records

are not located at the National Personnel Records Center (NPRC) or the U. S. Air Reserve Personnel Center (ARPC) in Denver, CO. The RMC will send a written request for these records, with a copy of the reply from the military activity, to the following e-mail address: william.anderson@afpc.randolph.af.mil.

In case of an emergency, the RMC may make the request via telephone to (210) 652-4343.

(4) If the records are at the Boards and Corrections Section, RMC will request them the same way as

described above.

(5) The records will be forwarded directly to the regional office by the service department after the RMC has made contact. If no records can be located, a negative reply will be provided by the AFDRB, or the Boards and Corrections Section at Randolph AFB, directly to the regional office.

c. If the AFDRB submits a request for return of the records, the request will be sent to RMC. The RMC will forward that request to the regional office of jurisdiction.

(1) A reference slip (OF 41, “Routing and Transmittal Slip”) will accompany the request to the

regional office, asking that the regional office respond directly to the AFDRB. If the records are not in the claims folder, a negative response will be required.

(2) The regional office will review the file and forward clear photocopies of the requested records to

AFDRB. The regional office will retain the originals in the claims folder. Copies of all military/personnel records must be furnished within 15 days of receipt of the request.

(3) If an undue delay is expected before the records are available (e.g., the file is at the Board of

Veterans’Appeals or with the General Counsel in conjunction with an appeal to the Court of Appeals for Veterans Claims), send a statement to the AFDRB to that effect.

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4.34 EXCHANGE OF RECORDS BETWEEN VA AND THE NAVY BOARD OF REVIEW AND

THE BOARD OF CORRECTION OF NAVAL RECORDS

a. A memorandum of understanding exists for the purpose of exchanging records between VA and

the Navy Discharge Review Board (NDRB) and Board of Correction of Naval Records (BCNR). Its purpose is to secure copies of military personnel/medical records and to return military personnel/medical records in VA custody.

b. Observe the following procedures:

(1) RMC has the sole responsibility for requesting records from NDRB and BCNR for both Navy

and Marine Corps records. The RMC’s Liaison section will review and distribute the requests as appropriate.

(2) The regional office should submit the request for records to the RMC via PIES. The RMC will

identify who has custody of the records and will see that copies of the required records are provided. Use 13 as the address code for the PIES request.

(3) Before a request is sent to the NDRB or BCNR, the RMC will obtain verification that the needed

records are not located at the National Personnel Records Center (NPRC).

(4) The RMC will send a written request for these records, to the following e-mail address:

p00zcb@persnet.navy.mil or in the case of emergency, the RMC may make the request via telephone to (901) 874-3043 or (703) 614-9851.

(5) The records will be forwarded directly to the regional office by the service department after the

RMC has made contact. If no records can be located, a negative reply will be provided by the NDRB or BCNR directly to the regional office.

c. If the NDRB submits a request for return of the records, the request will be sent to the RMC. The

RMC will forward that request to the regional office of jurisdiction.

(1) A reference slip (OF 41, “Routing and Transmittal Slip”) will accompany the request to the

regional office, asking that the regional office respond directly to the NDRB. If the records are not in the claims folder, a negative response will be required.

(2) The regional office will review the file and forward clear photocopies of the requested records to

NDRB. The regional office will retain the original records in the claims folder. Copies of all military/personnel records must be furnished within 15 days of receipt of the request.

(3) If an undue delay is expected before the records are available (e.g., the file is at the Board of

Veterans’ Appeals or with the General Counsel in conjunction with an appeal to the Court of Appeals for Veterans Claims), send a statement to the NDRB to that effect.

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SUBCHAPTER VIII. SERVICE RECORDS FOR PRISONERS OF WAR (POWS)

4.35 REQUESTS FOR PRISONER OF WAR RECORDS

The National Archives (NA) provides a great deal of information on prisoners of war (POW) from World War II and, to a lesser extent, the Korean Conflict. This information may be useful in determining POW status for purposes of 38 CFR 3.309(c) and in other instances where a certification of POW status is relevant to benefit eligibility. The NA does not have records for Vietnam Era veterans and rarely has service medical records. In order to obtain information from the NA, the veteran's name, service number, branch of service and dates of internment must be known; it also helps to know if they were held either by the Germans or Japanese. Send the request by letter to:

Military Reference Branch

National Archives

Washington, DC 20408

If the NA does not have records for a veteran, follow the procedures in paragraphs 4.39 and 5.16.

4.36 WORLD WAR II RECORD GROUPS

The following types of information may be obtained from the various groups indicated:

a. Record Group 389, Records of the Office of The Provost Marshal General (PMGO), contains master indexes of American POWs in World War II received from the International Red Cross. There are 26 volumes of records on German prisoners, 6 volumes of records on Japanese prisoners and 1 volume for those interned in other countries. The veterans are listed by name, service number and branch of service.

b. Record Group 389 also has additional lists from the American POW Information Bureau, Records Branch, in the General Subject File, for the period 1942 to 1946. Countries included are Germany, Japan and the Philippines. Listings are arranged by country of internment and location of camp, and then alphabetically by name.

c. Record Group 407, the Philippines Archives Collection in the Records of The Adjutant General's Office, 1917–, includes some records for camps such as Bilibid, Cabanatuan, O'Donnell and others.

d. The Suitland Reference Branch of the National Archives has the following records:

(1) Record Group 407, Strength and Accounting Branch, has strength returns and gives the names of individuals, service numbers and dates of internment.

(2) Record Group 92, Missing Air Crew Reports (MACR), in the Records of The Quartermaster General, provides information regarding air crashes and subsequent captures.

(3) Record Group 242, the National Archives Collection of Foreign Records Seized, 1941–, provides an alphabetical listing of American flyers who were shot down and captured in Europe and North Africa. The listing includes name, rank, service number, date shot down, physical condition of the veteran when captured and hospital or camp to which taken. Sometimes there is a list of the crew members with the veteran at the time of capture. Both the original German records and the English translations are in the possession of the NA.

Record Group 153, Records of the Office of The Judge Advocate General (Army), contains interrogation reports of individual POWs after repatriation to the United States. The reports were made by individuals who were victims of or who observed the atrocities in the POW camps.

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(5) Record Group 332, Records of the United States Theaters of War, World War II, contains the

G-s, MIS-X file. This is an alphabetical file of interrogations of escaped POWs.

4.37 KOREAN CONFLICT RECORD GROUPS

The following types of information may be obtained from the groups indicated:

a. The NA Military Reference Branch, in Record Group 319, Records of The Army Staff, has paper records for American POWs during the Korean Conflict. These records include lists of names of Allies exchanged with the communists. Volume 1 lists locations of POW camps, identified by number and location; it includes 140 pages of Americans listed by name, service number, rank, unit and camp number. Volume 2 includes supplemental lists of both military and civilian prisoners of various nationalities.

b. The NA Center for Electronic Records handles requests for records relating to the prisoner-of-war status of veterans of the Korean Conflict. They have custody of the casualty lists that indicate POW status. If this information is needed, advise the claimant to request it directly from NA. NA will not release this information to VA.

4.38 POW MEDICAL RECORDS FOR PERIODS OTHER THAN WORLD WAR II AND KOREAN CONFLICT

a. Request for Service Medical Records. Using PIES, submit a request using code O99 requesting the medical records for the POW period. Provide inclusive dates and places where the veteran was a POW to assist the service department in making a thorough search for the records.

b. Request for Debriefing Records. POWs were debriefed on return to military control. If the veteran alleges that the debriefing records contain evidence of disease or injury, request the debriefing record using request code O99. Include information from the veteran’s statement, setting forth the specific diseases or injuries. Do not routinely request debriefing records. In particular, do not request them if a favorable decision may be made based on other evidence of record or by application of presumptive service connection or if the disability is obviously due to an intercurrent injury or disease.

4.39 ACTION IF SERVICE RECORDS ARE NOT OBTAINABLE

If unable to obtain service or medical records for a POW case, ask the veteran to submit additional evidence. See paragraph 5.16 for additional information.

SUBCHAPTER IX. ADMISSION TO UNIFORMED SERVICES MEDICAL FACILITIES

4.40 Action on Receipt of VA Form 21-8358

See part IV, chapters 6 and 18.

SUBCHAPTER X. PROVIDING RECORDS TO SUPPORT MILITARY RESERVE RECRUITING

4.41 Providing Records to Air Force, Marine, and Navy Reserve Recruiting Service

a. VA's Records Management Center (RMC) has entered into an agreement with the Air Force, Marine, and Navy Reserve Recruiting Services under which each of them has assigned a Recruiting Support Noncommissioned Officer (NCO) to the RMC. The Recruiting Support NCO may request records from claims files located at the RMC or at a regional office. These records are needed when a veteran is being assigned to a Reserve unit.

b. If required records are located at a regional office, the Recruiting Support NCO may request the records via VA's E-mail system. Regional offices should furnish the requested records via FAX or other medium specified by the Recruiting Support NCO. If it is not practical to FAX the documents or if the records are not available, notify the Recruiting Support NCO by E-mail.

ADDENDUM A

SERVICE DEPARTMENT OR RECORDS CENTER ADDRESS CODES

A. DEPARTMENT OF THE ARMY

Address

Code

1. For Service, Character of Discharge (Facts, Investigations, Board of

Officers Proceedings), Copies of Courts-Martial (Summary or Special),

Inservice Injury Investigations, Physical Evaluation Board

Proceedings, Pay Grade Data and Traveltime:

a. Officers and enlisted--separated with no Reserve obligation, not

retired or deceased

(1) Officers separated before 7-1-17;

Enlisted, before 11-1-12 10

(2) Within 120 days 11

(3) After 120 days 13

b. Separated from active duty with Reserve obligation or retired*

(1) Not assigned to a unit 11

(When Reserve obligation ends, records are sent to address code 13.)

(2) Assigned to a unit Reserve Unit

of Assignment

c. On active duty or on TDRL

(1) Officers 18

(2) Enlisted 14

d. Army Air Corps or Army Air Force

(1) No Air Force service after 9-26-47 13

(2) With Air Force service after 9-26-47 Follow

Instructions

for Air Force

Records

2. Medical and dental records only:

a. Officers and enlisted separated before 10-16-92–separated

with no Reserve obligation, not retired or deceased

A. DEPARTMENT OF THE ARMY--Continued

Address

Code

(1) Officers separated before 7-1-17;

Enlisted, before 11-1-12 10

(2) All others 13

b. Officers and enlisted separated before 10-16-92–separated

with Reserve obligation or retired

(1) Not assigned to a unit 13

(When Reserve obligation ends, records are sent to address code 13.)

(2) Assigned to a unit Reserve Unit

of Assignment

c. Officers and enlisted separated for any reason on or after

10-16-92–with or without a Reserve obligation RMC

d. On active duty or on TDRL

(1) Officers 18

(2) Enlisted 14

e. Army Air Corps or Army Air Force

(1) No Air Force service after 9-26-47 13

(2) With Air Force service after 9-26-47 Follow

Instructions

for Air Force

Records

3. Entrance and separation chest x-rays 75

4. Inservice interim x-rays (retained only 5 years) 85

5. Readjustment or severance pay (except where released from TDRL),

separation pay, allowance and allotment information on active duty

personnel 16

6. Disability severance pay when the veteran has been released from the

TDRL. (If not previously on TDRL, go to code 16) 35

Note: Codes 16 and 35 have information about amounts of disability severance pay awarded, but they do not know for which disabilities severance pay was awarded. This information is generally available from codes 11 or 13.

A. DEPARTMENT OF THE ARMY--Continued

Address

Code

7. Retired pay 35

8. SBP 17

9. Service pay, allowance and allotment information on active duty personnel 16

10. Court-martial proceedings not in personnel records (request

must show date, type of court-martial and type of discharge 232

11. National Guard Status Appropriate State

Adjutant General

12. National Guard Officers/Warrant Officers 90

13. Enlisted personnel separated from National Guard status 11

B. DEPARTMENT OF THE NAVY

1. For Service, Traveltime, Pay Grade, Facts and Circumstances of Other Than

Honorable Discharge including Board of Officers Proceedings–Officers

and Enlisted

a. Separated by discharge, resignation, or retirement–no Reserve obligation:

(1) Within 12 months 31

(2) Over 12 months 13

b. Separated from active duty with Reserve obligation–not assigned to a unit 36

(When Reserve obligation ends, records are sent to address code 31 for 12 months

and then on to address code 13.)

c. Reservist assigned to Reserve unit separated before January 31, 1994 Unit of Assignment

d. TDRL 36

e. Placed on permanent disability retired list 13

2. Medical and dental records only:

a. Separated (before January 31, 1994) by discharge, resignation, or 13

retirement–no Reserve obligation :

B. DEPARTMENT OF THE NAVY--Continued

Address

Code

b. Separated from active duty before January 31, 1994, with Reserve

obligation–not assigned to a unit 36

(Approximately 12 months after Reserve obligation ends,

records are transferred to address code 13.)

c. Separated on or after January 31, 1994–separated for any reason–

with or without a Reserve obligation RMC

d. Reservist assigned to Reserve unit Unit of Assignment

e. Remaining on TDRL status 36

f. Deceased (not on active duty or inactive status)

(1) Within 12 months 36

(2) Over 12 months 13

3. Reports of investigation of inservice injuries or deaths, court-martial

proceedings not in personnel records (request must show date, type of court-martial

and type of discharge), severance disabilities and investigation reports 232

4. Retired pay 35

5. Readjustment pay, severance pay, separation pay, allowance and

allotment information on active duty personnel 35 (Other)

6. SBP 17

7. Entrance and separation x-rays 75

8. Inservice interim x-rays (films are retained 5 years beyond the

year of exposure, then destroyed)* 85

9. Medical Evaluation Board findings and Physical Evaluation Board **See below

findings, periodic physical examinations for TDRL personnel including

severance disability (not pay) information

Naval Council of Personnel Boards

Washington Navy Yard – Records Section

720 Kennon St., SE, Room 309

Washington, DC 20374-5023

**There is no current address code for this source.

* Some inservice interim x-rays dated before 2/1/55 are still in existence and may be requested from Address Code 75.

C. DEPARTMENT OF THE AIR FORCE