M21-1, Part III, Subpart iii, Chapter 2, Section A – General Information on Service Records

In This Section

Introduction

• definition of
  • service records
  • STRs
  • clinical records
  • personnel records
• types of records included in STRs, and
• STRs considered substantially complete for records development purposes.

Change Date

III.iii.2.A.1.a.Definition:
Service Records

• service treatment records (STRs)
• military personnel records, and
• clinical records.

• STRs, see M21-1, Part III, Subpart iii, 2.B.3
• clinical records, see M21-1, Part III, Subpart iii, 2.B.4, and
• personnel records, see M21-1, Part III, Subpart iii, 2.B.5-9.

III.iii.2.A.1.b.  Definition:
STRs

• returns to active duty, or
• begins actively serving in a Reserve or National Guard unit.

III.iii.2.A.1.c.  Definition:  Clinical Records

• inpatient clinical records (or mental health treatment at an MTF)
• military retiree medical records (these records do not include active duty medical records), and
• inpatient and outpatient dependent medical records.

III.iii.2.A.1.d.Definition:
Personnel Records

• date and type of enlistment/appointment
• duty stations and assignments
• training, qualifications, performance (awards and decorations received)
• disciplinary and other personnel actions, and
• date and type of separation/discharge/retirement (including DD Form 214,Certificate of Release or Discharge from Active Duty, or equivalent).

III.iii.2.A.1.e.  Types of Records Included in STRs

• developing for service department records of in-service mental health treatment, see M21-1, Part IV, Subpart ii, 1.D.2
• submitting a Personnel Information Exchange System (PIES) request, see
  • M21-1, Part III, Subpart iii, 2.D, and
  • the PIES User Guide, and
• obtaining inpatient clinical records, see
  • M21-1, Part III, Subpart iii, 2.B.4, and
  • M21-1, Part III, Subpart iii, 2.D.3.a.

III.iii.2.A.1.f.  STRs Considered Substantially Complete for Records Development Purposes

• at least one of the documents listed in M21-1, Part III, Subpart iii, 2.A.1.efor each period of qualifying service, or
• the certification letter/DD Form 2963, Service Treatment Record (STR) Certification.

• the definition of qualifying service, see M21-1, Part III, Subpart ii, 6.A.1.c, and
• sending final notice to a claimant, see M21-1, Part III, Subpart iii, 1.C.1.e.

Introduction

• protecting service records
• storage of original STRs by ROs
• handling photocopies of service records
• storage of paper copies of service records by ROs
• proper handling of VA Form 21-4582, Service Department Records Envelope
• handling
  • fire-damaged service records
  • service records on microfiche, and
  • STRs that contain a deoxyribonucleic acid (DNA) specimen
• responding to a Veteran’s inquiry about his/her DNA specimen
• sample documentation of the destruction of a DNA specimen
• sample letter for responding to an inquiry when STRs
  • did contain a DNA specimen, and
  • never contained a DNA specimen.

Change Date

III.iii.2.A.2.a.Protecting Service Records

• make marks on, date stamp, or punch holes in original service records
• remove STRs from an STR jacket (unless necessary for photocopying), or
• rearrange the order in which STRs are filed down in an STR jacket.

• DD Forms 214, may be
  • stamped or annotated to reflect verification of service, and/or
  • reverse-filed on the inside of the right-hand flap of the claims folder for ease of identification.
• Protective envelopes may be punched or date-stamped as long as the contents are not affected.

• the thickness of a Veteran’s service records exceeds one inch, or
• the thickness of a Veteran’s claims folder exceeds two and one-half inches when his/her service records are placed in it.

III.iii.2.A.2.b.  Storage of Original STRs by ROs

• store the STRs in the same STR jacket in which they arrived from the Veteran’s service department, and
• file the STRs in the center section of the Veteran’s claims folder.

III.iii.2.A.2.c.Handling Photocopies of Service Records

III.iii.2.A.2.d.Storage of Paper Copies of Service Records by ROs

• store them in VA Form 21-4582, and
• file them down in the center section of the appropriate claims folder.

III.iii.2.A.2.e.  Proper Handling of VA Form 21-4582

• are responsible for repairing or replacing the envelope if it gets damaged or becomes too worn to use, and
• should never slit the sides or bottoms of the envelope to remove records.

III.iii.2.A.2.f.Handling Fire-Damaged Service Records

• carefully make photocopies of the STRs for the claims folder, and
• return the original, fire-damaged STRs to the VALO.

• Until recently, original, fire-damaged records were routinely sent to and retained by ROs.  Upon receipt of these records, ROs
  • made photocopies of the original records
  • placed the original records in a VA Form 21-4582 that was prominently marked BURNED ORIGINAL RECORDS.  DO NOT REMOVE.
  • placed the photocopies in a separate VA Form 21-4582 that was prominently marked COPIES OF DAMAGED RECORDS, and
  • filed both forms in the corresponding claims folder.
• Upon discovery of a VA Form 21-4582 containing original, fire-damaged records, leave the records in the claims folder.  Do not attempt to return them to the VALO or NPRC.

III.iii.2.A.2.g.Handling Service Records on Microfiche

• If the frequent and/or immediate review of records on microfiche is necessary because, for example, a claim is pending, it might be advantageous to
  • make a hard copy of the records
  • place the hard copy in an envelope marked Copies of Microfiche, and
  • file down the envelope in the center section of the claims folder.
• If the folder is electronic, microfiche must be sent to the scanning vendor.

III.iii.2.A.2.h.Handling STRs That Contain a DNA Specimen

• one pouch is sent to the DoD Specimen Repository in Dover, Delaware, and
• the other pouch is placed in the corresponding service member’s STRs.

III.iii.2.A.2.i.  Responding to a Veteran’s Inquiry About His/Her DNA Specimen

III.iii.2.A.2.j.  Sample Documentation of the Destruction of a DNA Specimen

III.iii.2.A.2.k.  Sample Letter for Responding to an Inquiry When STRs Did Contain a DNA Specimen

• he/she inquires about the DNA specimen in his/her STRs, and
• a DNA specimen was of record but has been destroyed.

III.iii.2.A.2.l.  Sample Letter For Responding to an Inquiry When STRs Never Contained a DNA Specimen

• he/she inquires about the DNA specimen in his/her STRs, and
• the STRs never contained a DNA specimen.

Introduction

• National Archives and Records Administration (NARA)
• types of records NPRC houses
• determining the date a former service member’s service ended
• STRs NPRC houses
• personnel records NPRC houses
• how records are filed at NPRC
• NPRC’s Records Reconstruction Unit
• using the PIES to request service records, and
• negative responses from NPRC.

Change Date

III.iii.2.A.3.a.NARA

• is an independent agency, separate from both VA and DoD, and
• operates NPRC in St. Louis.

III.iii.2.A.3.b.Types of Records NPRC Houses

• STRs of former service members whose service ended prior to the dates shown in M21-1, Part III, Subpart iii, 2.A.3.d
• personnel records of former service members who had no service (active duty or otherwise) on or after the dates shown in M21-1, Part III, Subpart iii, 2.A.3.e, and
• clinical records.

• determining the date a former service member’s service ended, see M21-1, Part III, Subpart iii, 2.A.3.c, or
• clinical records, see M21-1, Part III, Subpart iii, 2.B.4.

III.iii.2.A.3.c.  Determining the Date a Former Service Member’s Service Ended

• retired
• was released from active duty with
  • no further service obligation, or
  • a service obligation but was
    • placed in the Individual Ready Reserve (IRR), or
    • not immediately assigned to a Reserve unit, or
• completed his/her service obligation in the Reserve or National Guard.

III.iii.2.A.3.d.STRs NPRC Houses

• M21-1, Part III, Subpart iii, 2.B.2, and
• M21-1, Part III, Subpart iii, 2.A.4.

III.iii.2.A.3.e.  Personnel Records NPRC Houses

III.iii.2.A.3.f. How Records Are Filed at NPRC

• Social Security number (SSN), or
• service number.

• creates and maintains clinical records, and
• normally retires its records to NPRC when there has been no treatment for a certain number of years.

III.iii.2.A.3.g.NPRC’s Records Reconstruction Unit

III.iii.2.A.3.h.Using PIES to Request Service Records

• M21-1, Part III, Subpart iii, 2.D, and
• the PIES User Guide.

III.iii.2.A.3.i.Negative Responses From NPRC

• If NPRC eventually receives the requested record, which rarely occurs, it will forward the record to the scanning vendor.
• Submitting subsequent requests only increases the workload at NPRC and detracts from the activities of those who are attempting to locate records that do, indeed, exist.

Introduction

• records RMC stored
• how RMC stored records
• historical responsibilities of RMC for STR maintenance
• extraction and cataloguing of STRs stored in RMC file banks, and
• DoD’s decision to electronically maintain and store STRs in Healthcare Artifacts and Images Management Solution (HAIMS).

Change Date

III.iii.2.A.4.a.  Records RMC Stored

• inactive VA claims folders (which may contain copies of the clinical records described in M21-1, Part III, Subpart iii, 2.B.4), and
• all original STRs belonging to former service members whose service ended between
  • the dates shown in M21-1, Part III, Subpart iii, 2.A.3.d, and
  • December 31, 2013.

• The Coast Guard sent STRs to RMC for storage and maintenance until September 1, 2014.
• RMC had transferred some of the original STRs it received from service departments to individual ROs for storage in an existing
  • claims folder, or
  • notice of death (NOD) folder.

• If a service member is immediately assigned to a Reserve unit after being released from active duty, his/her service department sends the service member’s STRs to that unit for storage and maintenance.
• Occasionally, RMC received STRs from service departments for former service members whose service ended prior to the dates shown in M21-1, Part III, Subpart iii, 2.A.3.d.  When this occurred, RMC kept the records.  For this reason, RMC might have had in its custody the STRs of a few former service members who separated prior to the dates shown in M21-1, Part III, Subpart iii, 2.A.3.d.
• To determine if RMC possessed a specific, former service member’s STRs prior to the File Bank Extraction project, check the Beneficiary Identification and Records Locator Subsystem (BIRLS) FOLDER LOCATION tab in Share.

• determining the date a former service member’s service ended, see M21-1, Part III, Subpart iii, 2.A.3.c
• the extraction and cataloguing of STRs stored in RMC file banks, seeM21-1, Part III, Subpart iii, 2.A.4.d
• the handling of STRs by service departments after December 31, 2013, see M21-1, Part III, Subpart iii, 2.A.4.e, and
• using Share, see the Share User Guide.

III.iii.2.A.4.b.  How RMC Stored Records

• RMC left the STRs in the jackets in which they arrived and filed them in sequential order by SSN.
• If a former service member had multiple STR jackets, and RMC received a request for transfer of his/her STRs, RMC was responsible for sendingall of the former service member’s STR jackets to the scanning vendor.

III.iii.2.A.4.c.  Historical Responsibilities of RMC for STR Maintenance

• transferring STRs to a vendor that digitizes (scans) the STRs and uploads them into the Veteran’s eFolder
• maintaining STRs for those Veterans
  • who do not have a claims folder located at an RO, or
  • whose inactive claims folder was located at RMC or is at a Federal records center
• responding to all requests for copies of documents from STRs housed at RMC, and
• returning STRs to service departments upon receipt of a request.

III.iii.2.A.4.d.  Extraction and Cataloguing of STRs Stored in RMC File Banks

• Scanning of a former service member’s records will be prioritized upon the establishment of a
  • claims folder in the Control of Veterans Records System (COVERS), or
  • claim using VBMS or Share.
• The project will continue until all records have been digitized and uploaded to the corresponding eFolder.
• RMC still may receive STRs from the Public Health Service (PHS) and National Oceanic and Atmospheric Administration (NOAA), however, treatment records are usually maintained at their own facilities.  In the event RMC receives STRs, the records will be sent to the scanning vendor for upload into the eFolder.

• the RMC SMTS Portal, see M21-1, Part III, Subpart ii, 1.F.5
• checking the status of a scanning request, or requesting expedited scanning of STRs, see the SMTS File Request Job Aid
• records previously stored at RMC, see M21-1, Part III, Subpart iii, 2.A.4.a
• final notification to claimants that VA is unable to obtain relevant Federal records, see M21-1, Part III, Subpart iii, 1.C.1.e, and
• addresses for PHS and NOAA, see M21-1, Part III, Subpart iii, 2.K.2.

III.iii.2.A.4.e.  DoD’s Decision to Electronically Maintain and Store STRs in HAIMS

• scanning/digitizing the service member’s STRs, and
• uploading them into HAIMS.

• determining the date a service member’s service ended, see M21-1, Part III, Subpart iii, 2.A.3.c
• the extraction and cataloguing of STRs stored in RMC file banks, seeM21-1, Part III, Subpart iii, 2.A.4.d
• the RMC SMTS Portal, see
  • the SMTS File Request Job Aid, and
  • M21-1, Part III, Subpart ii, 1.F.5, and
• HAIMS, see
  • M21-1, Part III, Subpart iii, 2.B.2.e, and
  • M21-1, Part III, Subpart iii, 2.B.3.c-h.

Introduction

• historical use of Service Medical Records Tracking System (SMRTS)
• historical interaction between SMRTS, Share, and COVERS
• RMC intake site codes, and
• photocopies of STRs for NOD folders.

Change Date

III.iii.2.A.5.a.  Historical use of SMRTS

III.iii.2.A.5.b.  Historical Interaction Between SMRTS, Share, and COVERS

• using Share, see the Share User Guide
• historical practice of sending STRs to the RO in possession of a claims folder, see M21-1, Part III, Subpart iii, 2.A.4.c
• the extraction and cataloguing of STRs stored in RMC file banks, seeM21-1, Part III, Subpart iii, 2.A.4.d, and
• checking the status of a request for STRs previously stored at RMC, seeM21-1, Part III, Subpart iii, 2.I.2.a.

III.iii.2.A.5.c.  RMC Intake Site Codes

III.iii.2.A.5.d.  Photocopies of STRs for NOD Folders

Change Date

III.iii.2.A.6.a.  Handling Requests for the Return of STRs in VA’s Possession

• photocopy the STRs
• certify the photocopy as true and correct
• place the photocopies in VA Form 21-4582 and file them in the center section of the Veteran’s claims folder
• place a copy of the request in the center section of the Veteran’s claims folder
• return the original STRs to the service department that requested them, and
• annotate the copy of the request to show
  • where the original STRs were sent, and
  • the date on which they were sent.

Introduction

• when service departments provide VA with a certificate of release
• notices of separation
  • that PHS and NOAA use, and
  • provided to the Veterans Assistance Discharge System (VADS) unit
• handling copies of DD Form 214 in an STR document in VBMS
• handling copies of DD Form 214 received from RMC, and
• service information in the corporate record.

Change Date

III.iii.2.A.7.a.  When Service Departments Provide VA With a Certificate of Release

• if/when the service member files a claim for VA benefits at the time of separation, or
• when the service member is released from active duty.

III.iii.2.A.7.b.  Notices of Separation That PHS and NOAA Use

• PHS uses PHS Form 1867, Statement of Service-Verification of Status of Commissioned Officers of the U.S. Public Health Service, and
• NOAA uses NOAA Form 56-16, Report of Transfer or Discharge.

III.iii.2.A.7.c.  Notices of Separation Provided to the VADS Unit

• PHS Form 1867, and
• NOAA Form 56-16.

III.iii.2.A.7.d.  Handling Copies of DD Form 214 in an STR Document in VBMS

• ensuring the subject line of the STR document identifies the inclusion of the certified DD Form 214, or
• adding a bookmark indicating the certified DD Form 214 is included in the STR document.

• changing the subject line for a VBMS document, see the VBMS Job Aid – Editing Document Properties, and
• bookmarking an eFolder document, see M21-1, Part III, Subpart ii, 4.G.2.n.

III.iii.2.A.7.e.Handling Paper Copies of DD Form 214 Received From RMC

III.iii.2.A.7.f.  Service Information in the Corporate Record

• using data displayed on the Veterans Identification tab in Share to verify service, see the Share User Guide
• determining Veteran status and eligibility for benefits, see M21-1, Part III, Subpart ii, 6, and
• updating service information in VA systems, see M21-1, Part III, Subpart ii, 3.C.7.

Introduction

• documentation provided to VA when a service member dies
• actions the Philadelphia RO takes upon receipt of notice of an in-service death
• development of cases involving in-service death from suicide
• interim reports of death, and
• reports from service department finance centers.

Change Date

III.iii.2.A.8.a.  Documentation Provided to VA When a Service Member Dies

• reports of investigation
• statements of medical examination and duty status, and/or
• reports of facts and circumstance.

III.iii.2.A.8.b.  Actions the Philadelphia RO Takes Upon Receipt of Notice of an In-Service Death

• processes the first notice of death (FNOD), unless an FNOD has already been processed
• establishes an NOD folder, if needed, and
• processes the initial claim for Dependency and Indemnity Compensation (DIC) upon receipt of VA Form 21P-534EZ, Application for DIC, Death Pension, and/or Accrued Benefits.

III.iii.2.A.8.c.  Development of Cases Involving In-Service Death From Suicide

• Initiate development to the service member’s service department for any records pertaining to an investigation of the circumstances surrounding the service member’s death, using
  • VBMS or the Modern Award Processing-Development (MAP-D), and/or
  • PIES or the Defense Personnel Image Retrieval System (DPRIS).
• Simultaneously initiate development to the claimant for any information or copies of reports or investigations pertaining to the service member’s death.

• rating decisions involving the issue of insanity, see M21-1, Part IX, Subpart ii, 2.6, or
• using
  • VBMS, see the VBMS User Guide
  • MAP-D, see the MAP-D User’s Guide
  • PIES, see PIES User Guide, or
  • DPRIS, select the HELP tab on the DPRIS website.  (Registration is required.)

III.iii.2.A.8.d.  Interim Reports of Death

III.iii.2.A.8.e.  Reports from Service Department Finance Centers

Introduction

• how VAMCs should request service records, and
• handling requests from a VAMC when no claims folder exists.

Change Date

III.iii.2.A.9.a.  How VAMCs Should Request Service Records

III.iii.2.A.9.b.  Handling Requests From a VAMC When No Claims Folder Exists