Overview
In This Section |
This section contains the following topics:
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1. General Information on Service Records
Introduction |
This topic contains general information on STRs, including
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Change Date |
March 7, 2019
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III.iii.2.A.1.a.Definition:
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Service records are records created during a service member’s period(s) of military service. The three main categories of service records are
Reference: For more information on obtaining
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III.iii.2.A.1.b. Definition:
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Service treatment records (STRs) are the chronological records (electronic or paper) documenting the medical and/or dental care and treatment received primarily outside of a hospital (i.e – outpatient) during service. The records may contain a synopsis of any inpatient hospital care and/or mental health treatment related to the service members’ service. (For many years, they were referred to as service medical records (SMRs)).
Original, paper versions of STRs in the Department of Veterans Affairs’ (VA’s) possession belong to the Department of Defense (DoD) and are only on loan to VA. They are subject to recall by entities within DoD, to include Reserve and National Guard units.
Note: STRs are typically recalled when a Veteran
Reference: For more information on handling requests for the return of original STRs, see M21-1, Part III, Subpart iii, 2.A.6.a.
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III.iii.2.A.1.c. Definition: Clinical Records |
Clinical records are comprised of a variety of health care treatment records that document a service member’s treatment at a military treatment facility (MTF).
Clinical records are classified as the following:
Reference: For more information on obtaining clinical records, see M21-1, Part III, Subpart iii, 2.B.4.
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III.iii.2.A.1.e. Types of Records Included in STRs |
The table below contains a list of the types of records that are and are not included in a service member’s STRs.
Note: If a service member obtains treatment “off-base” at a civilian facility, any medical or mental health records created during the course of treatment are notautomatically associated with the service member’s STRs.
References: For more information on
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III.iii.2.A.1.f. STRs Considered Substantially Complete for Records Development Purposes |
STRs received from a service department or records facility are considered substantially complete for records development purposes if they contain
Important: When the records provided are inconsistent with the circumstances of the Veteran’s service, such as a clear lack of records for an extended period of service,
References: For more information on
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2. Instructions for Handling Service Records
Introduction |
This topic contains instructions for handling service records, including
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Change Date |
April 21, 2016 |
III.iii.2.A.2.b. Storage of Original STRs by ROs |
When a claims folder is established, do not return the Veteran’s STRs to a service department or the National Personnel Records Center (NPRC), unless a specific request is received.
Note: If the original, paper version of a Veteran’s STRs are in an RO’s possession, that RO must
Exception: If the STR jacket in which STRs arrived has been destroyed, ROs may store the STRs in VA Form 21-4582, Service Department Records Envelope.
Reference: For more information on handling requests for the return of original STRs, see M21-1, Part III, Subpart iii, 2.A.6.a.
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III.iii.2.A.2.c.Handling Photocopies of Service Records |
Follow the instructions in the table below upon receipt of photocopies of service records.
Reference: For more information on RO storage of original service records, seeM21-1, Part III, Subpart iii, 2.A.2.a and b.
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III.iii.2.A.2.d.Storage of Paper Copies of Service Records by ROs |
In order to prevent loss of or damage to paper copies of service records, ROs must
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III.iii.2.A.2.e. Proper Handling of VA Form 21-4582 |
In order to ensure the contents of VA Form 21-4582 remain protected, VA employees
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III.iii.2.A.2.f.Handling Fire-Damaged Service Records |
On July 12, 1973, a fire at NPRC destroyed a significant number of service records. When an RO sends a request to NPRC for records that were damaged but not destroyed by the fire, the VA Records Management Center (RMC) Liaison Office (VALO), which shares office space with NPRC, responds to the request by providing photocopies of the damaged STRs. The original records normally remain at NPRC.
If the VALO inadvertently sends original, fire-damaged STRs to an RO, the RO must
Notes:
Reference: For more information about service records that might have been damaged by the fire at NPRC, see M21-1, Part III, Subpart iii, 2.E.1.
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III.iii.2.A.2.g.Handling Service Records on Microfiche |
If there is a paper claims folder, service records on microfiche should be stored in the envelope in which VA received them and then placed in VA Form 21-4582 to prevent loss or damage.
Do not staple through the microfiche, since doing so could destroy images of relevant records.
Notes:
Reference: For more information on sending electronic media to the scanning vendor, see M21-1, Part III, Subpart ii, 1.F.2.d.
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III.iii.2.A.2.h.Handling STRs That Contain a DNA Specimen |
In June 1992, DoD Health Affairs began collecting deoxyribonucleic acid (DNA) specimens to aid in the identification of the remains of deceased service members. This collection provides for two sets of DNA specimens. Each specimen is sealed in a small shipping pouch that is labeled with its contents. Then,
VA has no need for DNA specimens and has removed most of them from the STRs in its possession. Nevertheless, the discovery of these specimens may occur during the routine review of STRs. When found, these specimens should be destroyed.
Follow the procedures described in the table below upon discovering a DNA specimen in a Veteran’s STRs.
Note: VA is not obligated to notify a Veteran when it destroys his/her DNA specimen.
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III.iii.2.A.2.i. Responding to a Veteran’s Inquiry About His/Her DNA Specimen |
If a Veteran makes an inquiry about his/her DNA specimen, VA is only obligated to inform the Veteran whether a specimen was found in his/her STRs and, if so, whether the specimen was destroyed.
The table below references sample letters for responding to a Veteran’s inquiry about his/her DNA specimen.
Important: Never dispose of a DNA specimen by giving it to the Veteran.
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III.iii.2.A.2.j. Sample Documentation of the Destruction of a DNA Specimen |
The exhibit below represents a sample of the type of documentation that must be placed in a Veteran’s STRs when VA destroys his/her DNA specimen.
Note: The use of a specific form to document this action is not required.
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III.iii.2.A.2.k. Sample Letter for Responding to an Inquiry When STRs Did Contain a DNA Specimen |
Prepare a letter, following the format of the letter below, and send it to the Veteran when
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III.iii.2.A.2.l. Sample Letter For Responding to an Inquiry When STRs Never Contained a DNA Specimen |
Prepare a letter, following the format of the letter below, and send it to the Veteran when
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3. NPRC
Introduction |
This topic contains information on NPRC, including
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Change Date |
March 7, 2019 |
III.iii.2.A.3.a.NARA |
The National Archives and Records Administration (NARA)
Important: Although NARA operates NPRC, references in this chapter to “the service department” include NPRC, since it is a primary repository of service department records.
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III.iii.2.A.3.b.Types of Records NPRC Houses |
NPRC houses the following types of records:
References: For information about
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III.iii.2.A.3.c. Determining the Date a Former Service Member’s Service Ended |
For the purpose of this section, a former service member’s service ended on the date he/she
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III.iii.2.A.3.d.STRs NPRC Houses |
Use the information in the table below to determine whether NPRC houses a former service member’s STRs.
Reference: For information about locating STRs of former service members whose service ended on or after the dates shown in the table above, see
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III.iii.2.A.3.e. Personnel Records NPRC Houses |
Use the information in the table below to determine whether NPRC houses a former service member’s personnel records.
Exception: NPRC continues to house personnel records for the Coast Guard,except for its service members who are assigned to an active Reserve unit. The personnel records of these service members remain with their respective units.
Reference: For more information on the location of Army official military personnel files and the means for requesting copies, see
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III.iii.2.A.3.f. How Records Are Filed at NPRC |
NPRC maintains a registry of most of the service records in its custody. These records are filed by the former service member’s name and
Clinical records are filed by hospital name or number, then chronologically by year, or month and year, of treatment.
Note: The MTF that provided treatment
Reference: For more information on clinical records, see M21-1, Part III, Subpart iii, 2.B.4.
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III.iii.2.A.3.g.NPRC’s Records Reconstruction Unit |
NPRC’s Records Reconstruction Unit relies on unit records and other alternative documents to reconstruct records destroyed in the 1973 fire at NPRC.
Reference: For more information on records destroyed by fire at NPRC, see M21-1, Part III, Subpart iii, 2.E.1.
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III.iii.2.A.3.h.Using PIES to Request Service Records |
PIES is the primary means ROs use to request STRs and personnel records from NPRC. Such requests are electronically matched against NPRC’s registry holdings to determine whether NPRC has custody of the record an RO is requesting.
Note: If an RO requests STRs for a Veteran who has an electronic claims folder (eFolder) in the Veterans Benefits Management System (VBMS), NPRC does notsend the STRs to the RO. Instead, it sends the STRs to a vendor for scanning and uploading into the Veteran’s eFolder.
Reference: For more information on PIES, see
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III.iii.2.A.3.i.Negative Responses From NPRC |
Submission of a request for records to NPRC after receiving a response indicating that the records do not exist or are “fire-related” is unnecessary.
Notes:
Reference: For more information on documenting the unavailability of Federal records, see M21-1, Part III, Subpart iii, 1.C.1.e.
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4. General Information on RMC and the Records it Previously Maintained
Introduction |
This topic contains general information on RMC and the records it previously maintained, including
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Change Date |
March 7, 2019 |
III.iii.2.A.4.a. Records RMC Stored |
RMC replaced the Service Medical Records Center (SMRC) (375) and Records Processing Center (RPC) (376). RMC stored
Exceptions:
Notes:
References: For more information about
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III.iii.2.A.4.b. How RMC Stored Records |
Before the deployment of DoD’s Healthcare Artifacts and Images Management Solution (HAIMS) on January 1, 2014, when a service department transferred a former service member’s STRs to RMC, it sent the STRs in either a single or multiple STR jackets. Each jacket bore the former service member’s name and SSN.
Reference: For more information about HAIMS, see M21-1, Part III, Subpart iii, 2.A.4.e.
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III.iii.2.A.4.c. Historical Responsibilities of RMC for STR Maintenance |
RMC was responsible for
Note: Prior to electronic claims processing, RMC sent the STRs to the RO in possession of the Veteran’s paper claims folder.
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III.iii.2.A.4.d. Extraction and Cataloguing of STRs Stored in RMC File Banks |
VA began a project to extract STRs stored in the RMC file banks for the purpose of digitizing the records and uploading them into the corresponding eFolder.
The first phase of the File Bank Extraction project at RMC began on November 27, 2017, and concluded on September 21, 2018. The first phase resulted in the full inventory of STRs pulled from RMC file banks being catalogued in the RMC SMTS Portal. The inventoried STRs have been sent to the scanning vendor and are no longer in RMC’s possession.
Claims processors can check the status of a scanning request, or request expedited scanning of STRs, after searching for the records using the former service member’s Social Security number (SSN).
Important: Consider the following message a negative response for STRs: “File not found.” Save a screenshot of the message and associate it with the claims folder.
Notes:
References: For more information on
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III.iii.2.A.4.e. DoD’s Decision to Electronically Maintain and Store STRs in HAIMS |
In 2014, the various service departments stopped sending STRs to RMC for storage and maintenance and began
Use the table below to determine when a service member’s STRs became digitally available through HAIMS.
References: For more information about
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5. Historical Transfer of STRs Into and out of RMC
Introduction |
This topic contains information about the transfer of STRs into and out of RMC prior to the File Bank Extraction project, including
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Change Date |
March 7, 2019 |
III.iii.2.A.5.a. Historical use of SMRTS |
Prior to the deployment of HAIMS, RMC received STRs from service departments and recorded their receipt in the Service Medical Records Tracking System (SMRTS).
SMRTS interfaced with Share and provided RMC with a uniform method for managing and tracking the movement of STRs into and out of RMC.
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III.iii.2.A.5.b. Historical Interaction Between SMRTS, Share, and COVERS |
The table below contains a description of the interaction between SMRTS, Share, and COVERS prior to the File Bank Extraction project.
References: For more information on
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III.iii.2.A.5.c. RMC Intake Site Codes |
The INTAKE tab in VBMS can also be used to review details about records that have been shipped from RMC (station code 376) to the scanning vendor.
The table below identifies what each RMC intake site code means.
Note: The INTAKE tab is generally only available to Intake Processing Center employees.
Reference: For more information on the INTAKE tab in VBMS, see the VBMS User Guide.
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III.iii.2.A.5.d. Photocopies of STRs for NOD Folders |
RMC sent a former service member’s STRs to the scanning vendor only if an RO specifically requested it.
Note: When RMC sent the STRs to the scanning vendor, the date the RO made the request appears in the IN TRANSIT DATE field on the BIRLS FOLDER LOCATION tab in Share. The TRANSFER DATE field on the same tab reflects the date the STRs were sent to the scanning vendor.
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6. Handling Requests for the Return of STRs in the VA’s Possession
Change Date |
June 13, 2018 |
III.iii.2.A.6.a. Handling Requests for the Return of STRs in VA’s Possession |
Upon receipt of a request from a service department for the return of a Veteran’s original STRs, take the following actions if the RO is still in possession of the paper claims folder and STRs:
Note: Photocopies of STRs, in lieu of original STRs, are acceptable for the Air Force (SAF/MIBR) at Randolph Air Force Base if VA is holding the claims folder because it is eligible for Court of Appeals for Veterans Claims review.
Reference: For more information on who is responsible for responding to the service department request for records see M21-1, Part III, Subpart iii, 2.H.
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7. DD Form 214
Introduction |
This topic contains information on DD Form 214, including
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Change Date |
April 21, 2016 |
III.iii.2.A.7.a. When Service Departments Provide VA With a Certificate of Release |
Service departments provide VA with a copy of a service member’s DD Form 214or other appropriate certificate of release
Note: Prior to the deployment of HAIMS on January 1, 2014, service departments included a copy of DD Form 214 with the STRs they provided to VA.
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III.iii.2.A.7.b. Notices of Separation That PHS and NOAA Use |
PHS and NOAA do not use DD Form 214 as their official notice of separation. Instead
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III.iii.2.A.7.c. Notices of Separation Provided to the VADS Unit |
The following notices of separation are routinely provided to the Veterans Assistance Discharge System (VADS) unit at the Austin Data Processing Center, where data from the notices are manually entered into the corporate record
Note: If the VADS unit is unable to update the corporate record with data from the documents referenced above, the unit forwards the documents to RMC for manual entry into the corporate record.
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III.iii.2.A.7.d. Handling Copies of DD Form 214 in an STR Document in VBMS |
In some cases, during the scanning of paper documents into an eFolder in VBMS, the DD Form 214 was scanned with the STRs.
When a DD Form 214 is part of the STR document in the eFolder, RO employees must ensure the DD Form 214 is properly idenitfied. This must be done either by
References: For more information on
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III.iii.2.A.7.e.Handling Paper Copies of DD Form 214 Received From RMC |
Prior to the deployment of HAIMS on January 1, 2014, service departments included a copy of DD Form 214 with the STRs they sent to RMC. When RMC transferred STRs to an RO, it included the copy of the DD Form 214 in the STRs. ROs may accept the copy as valid for the purpose of verifying a Veteran’s service.
Follow the instructions in the table below for handling a copy of a DD Form 214 that RMC included in a Veteran’s STRs if there is a paper claims folder.
Reference: For more information about HAIMS, see M21-1, Part III, Subpart iii, 2.A.4.e.
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III.iii.2.A.7.f. Service Information in the Corporate Record |
Corporate records may be created or, in the case of an existing record, updated to reflect service information received from a service department.
Share indicates the existence of a VADS record with a Y or a D in the VADS field on the Veterans identification tab.
References: For more information on
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8. Reports of Casualty
Introduction |
This topic contains information on reports of casualty, including |
Change Date |
March 27, 2017 |
III.iii.2.A.8.a. Documentation Provided to VA When a Service Member Dies |
When a service member dies in service, the following documentation is sent to the Philadelphia RO, along with either DD Form 1300, Report of Casualty, or PHS Form 2709, Report of Death of Commissioned Officer
Note: The Philadelphia RO might also receive a DD Form 1300 when a retired service member or Reservist dies.
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III.iii.2.A.8.b. Actions the Philadelphia RO Takes Upon Receipt of Notice of an In-Service Death |
When the Philadelphia RO receives notice of an in-service death, it
Reference: For more information on establishing a folder during FNOD processing, see M21-1, Part III, Subpart ii, 8.B.2.j.
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III.iii.2.A.8.c. Development of Cases Involving In-Service Death From Suicide |
If VA receives a claim for death benefits, and the cause of death was in-service suicide, the rating activity must determine whether the service member was of unsound mind when he/she committed the act. The rating activity should consider an in-service death from suicide as evidence of mental unsoundness unless the evidence establishes that the act of self-destruction was intentional. Generally, a person of unsound mind is incapable of forming intent, which is an essential element of willful misconduct.
When a DD Form 1300 or other notification of an in-service suicide is of record, refer the document(s) to the rating activity. If the evidence is insufficient for a rating decision on the in-service suicide, take the following actions:
Important: Service departments do not always make a line-of-duty determination if there is no surviving spouse or dependent child who would be eligible for payment of survivor benefits. Therefore, supporting evidence such as medical and police reports might have to be obtained before the rating activity can make a decision on the issue of mental unsoundness. Reasonable doubt should be resolved favorably to support a finding of mental unsoundness and service connection in accordance with the provisions of 38 CFR 3.302(b)(3).
References: For information about
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III.iii.2.A.8.d. Interim Reports of Death |
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.
Important: Interim reports of death may not be used as the basis for determining the effective date of an initial award under M21-1, Part IV, Subpart iii, 3.H.3.
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III.iii.2.A.8.e. Reports from Service Department Finance Centers |
Service department finance centers supplement reports of in-service deaths by furnishing DD Form 1515, Pay and Allotment Information–Deceased Member, certifying the final settlement of allowances, allotments and service pay.
Reference: For more information on the award action to take when the information necessary to process an award is of record, see M21-1, Part IV, Subpart iii, 3.H.3.
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9. Requests From Department of VAMCs for Service Records/Information
Introduction |
This topic contains information on requests from VAMCs for service records/information, including |
Change Date |
March 27, 2017 |
III.iii.2.A.9.a. How VAMCs Should Request Service Records |
VA medical centers (VAMCs) may use the Veterans Information Solution (VIS) to verify a Veteran’s service. If VIS does not provide service verification, or if VAMCs require clinical records or other service-related documentation, they should request it by sending VA Form 10-7131, Exchange of Beneficiary Information and Request for Administrative and Adjudicative Action, to the appropriate RO.
Note: It is VA policy that only ROs may request service records.
Reference: For information on VIS, see the VIS User Guide.
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III.iii.2.A.9.b. Handling Requests From a VAMC When No Claims Folder Exists |
The table below contains instructions for handling requests for service records/information from a VAMC when no claims folder exists.
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3-7-19_Key-Changes_M21-1III_iii_2_SecA.docx | May 12, 2019 | 82 KB |
Historical_M21-1III_iii_2_SecA_09-28-2015.doc | May 12, 2019 | 258 KB |
Historical_M21-1III_iii_2_SecA_5-18-15.doc | May 12, 2019 | 245 KB |
Historical_M21-1III_iii_2_SecA_3-27-17.doc | May 12, 2019 | 241 KB |
11-1-17_Key-Changes_M21-1III_iii_2_SecA.doc | May 12, 2019 | 222 KB |
6-13-18_Key-Changes_M21-1III_iii_2_SecA.docx | May 12, 2019 | 96 KB |
4-21-16_Key-Changes_M21-1III_iii_2_SecA.docx | May 12, 2019 | 114 KB |
Transmittal-M21-1MRIII_iii_2_SecA_TS.doc | May 12, 2019 | 92 KB |
Change-May-18-2015-Transmittal-Sheet-M21-1MRIII_iii_2_SecA_TS.docx | May 12, 2019 | 41 KB |
in Chapter 2 Developing for Service Records, Part III General Claims Process, Subpart iii General Development and Dependency Issues
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