Overview
In This Section |
This section contains the following topics:
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1. General Information About Locating Service Records
Introduction |
This topic contains general information about locating service records, including
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Change Date |
July 23, 2015 |
III.iii.2.B.1.a. Basic Elements in Securing Veterans’ Service Records |
In order to successfully secure Veterans’ service records, regional office (RO) employees responsible for this development activity must
The information in this section provides employees with
Reference: For listings of service record custodians, their contact information, and the address codes for requesting records from them through the Personnel Information Exchange System (PIES), see M21-1, Part III, Subpart iii, 2.D and E. |
III.iii.2.B.1.b. Determining Whether a Veteran Has an Additional Service Obligation |
Knowing whether a Veteran left active duty with an obligation for further service in the Reserve (including the National Guard) is critical in locating his/her service records.
The table below explains how RO employees may use the Veterans Information Solution (VIS) and a Veteran’s DD Form 214, Certificate of Release or Discharge From Active Duty, to determine whether a Veteran has an additional service obligation and, if so, the type of service he/she is currently performing.
Note: If a Veteran had an obligation for further service in the Reserve, his/her DD Form 214 will show the termination date of the service obligation. If the termination date has passed, secure the Veteran’s service records according to the instructions for locating and obtaining the service records of Veterans with no service obligation in the Reserve.
References: For more information on
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III.iii.2.B.1.c. Service Records Destroyed in a Fire at NPRC |
The service records of a limited number of Veterans are no longer available because they were destroyed in a fire at the National Personnel Records Center (NPRC) in 1973.
Use the information in M21-1, Part III, Subpart iii, 2.E.1.a to determine whether a Veteran’s service records were among those destroyed by the fire.
Reference: For more information on clinical records destroyed in the fire at NPRC, see M21-1, Part III, Subpart iii, 2.B.4.g.
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III.iii.2.B.1.d. Requesting Service Records From Alternate Sources |
Sometimes, service records are not available at the locations from which ROs normally obtain them. This is often due to delays in transferring service records from one site to another. Under these circumstances, ROs should attempt to obtain the records from alternate sources.
Example: Service records might
Reference: For listings of service record custodians, their contact information, and the address codes for requesting records from them through PIES, see M21-1, Part III, Subpart iii, 2.D and E.
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III.iii.2.B.1.e. Updating the Contact Information of Service Record Custodians |
When ROs discover that contact information in M21-1, Part III, Subpart iii, 2.K.1 is no longer accurate, they should notify the PIES Help Desk by sending an e-mail toVAVBAWAS/CO/PIES.
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2. Migration of STRs
Introduction |
This topic contains information on the migration of STRs after service members separate from service, including
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Change Date |
March 1, 2019
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III.iii.2.B.2.a. Service Department Responsibilities With Regard to STRs |
When a service member separates from service, his/her service department is responsible for
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III.iii.2.B.2.b. History Behind the STR Certification Process |
On January 1, 2013, individual service departments began issuing their own version of a letter that certified the completeness of a service member’s STRs. Prior to this date, no requirement for certification existed. On June 25, 2013, DoD replaced the letters with DD Form 2963, Service Treatment Record (STR) Certification. By August 1, 2013, all service departments were using the new form.
Reference: If a service department fails to certify the completeness of a service member’s STRs after January 1, 2013, follow the instructions in M21-1, Part III, Subpart iii, 2.B.2.d.
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III.iii.2.B.2.c. Determining Whether Additional Development to Obtain STRs Is Necessary |
If a certification letter/DD Form 2963 accompanies STRs that an RO obtains from a service department, the RO should not undertake additional development to obtain STRs unless all of the following criteria are met:
If additional development is necessary, submit a PIES request, under request code O99, to address code 07. In the body of the request, provide details on why contact with the service department is necessary.
Important: Further development to the service department for the records is notrequired if the certification letter/DD Form 2963 indicates the STRs or sections of the STRs are absent. However, a final notification letter must be sent to the claimant notifying him/her of the absence.
References: For more information about
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III.iii.2.B.2.d. Processing STRs That Do Not Include a Certificate of Completeness |
The table below describes the procedures for processing STRs that do not include a signed
Important: Do not delay the processing of claims that service members submitprior to separation based on the absence of a certification letter/DD Form 2963. VA does not require service departments to certify the completeness of STRs VA uses to decide this category of claims.
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III.iii.2.B.2.e. Migration of STRs After Service Ends |
The table below shows the migration of STRs after service ends. Service, for the purpose of this block, ends when a service member
Important:
Exception: The Public Health Service (PHS), and National Oceanic and Atmospheric Administration (NOAA) do not scan STRs and upload them into HAIMS. These records continue to be forwarded to RMC.
References: For information about
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3. Procedures for Obtaining STRs
Change Date |
March 1, 2019
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III.iii.2.B.3.a. Automated STR Requests to RMC Based on Claims Establishment |
If RMC is in possession of a Veteran’s claims folder and/or STRs, it automatically sends the claims folder and/or STRs to a vendor for scanning and uploading into the Veteran’s eFolder when an RO establishes a corresponding claims folder or claim.
Important: If a station erroneously receives paper STRs from RMC, it should send those records to the scanning vendor.
References: For more information about
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III.iii.2.B.3.b. Obtaining STRs for Members of the Reserve or National Guard |
Follow the steps in the table below to obtain STRs for members of the Reserve or National Guard.
Important: When a Veteran indicates private medical treatment for a condition related to Reserve or National Guard duty during, or in close proximity to, the time frame in which the duty was conducted, obtain the records as described in M21-1, Part III, Subpart iii, 1.C for consideration in deciding the claim.
References: For more information about
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III.iii.2.B.3.c. Interaction Between VBMS and HAIMS |
VBMS automatically submits a request for a Veteran’s STRs to HAIMS when
Exception: Coast Guard began uploading service records to HAIMS for Veterans whose service ended on or after September 1, 2014.
Notes:
Reference: For more information on HAIMS, see M21-1, Part III, Subpart iii, 2.A.4.c.
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III.iii.2.B.3.d. Suspense Dates Generated by VBMS for STR Requests to HAIMS |
When a request for copies of STRs is submitted to HAIMS through VBMS, VBMS generates a suspense date for the request as described in the table below. The request remains active until the claim is closed, cleared, or cancelled.
Important: If the suspense date passes before a status message is received, send e-mail notification to VAVBAWAS/CO/PIES.
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III.iii.2.B.3.e. Status Messages Generated by VBMS for STR Requests to HAIMS |
When a request for copies of STRs is submitted to HAIMS through VBMS, the status of the request is located in the OBTAIN STRS section of the DEVELOPMENT PLAN for the claim in VBMS.
Use the table below to determine the meaning of the status messages and any associated actions required.
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III.iii.2.B.3.f. How STRs From HAIMS Are Grouped and Displayed in VBMS |
Electronic copies of STRs that HAIMS transmits to VBMS are grouped and displayed in a Veteran’s eFolder with the following titles:
Notes:
Reference: For more information about late-flowing STR documentation, seeM21-1, Part III, Subpart iii, 2.B.3.g.
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III.iii.2.B.3.g. Late-Flowing STR Documentation in HAIMS |
When an MTF scans and uploads late-flowing STRs into HAIMS, the MTF is responsible for notifying the Veteran to whom the STRs belong. The Veteran is then responsible for notifying VA (through submission of the required standard claim form) if he/she wants VA to consider the additional STRs in determining his/her entitlement to VA benefits.
If the Veteran does notify VA, VBMS automatically submits a request for the additional STRs to HAIMS when the station of origination establishes a corresponding claim in VBMS. If the Veteran already has a claim pending in VBMS, the STR documents will flow from HAIMS to VBMS automatically.
References: For more information about
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III.iii.2.B.3.h. Requesting STRs From HAIMS for Survivor Benefits Claims |
VBMS limitations do not currently allow the establishment of claims in which the claimant is not the Veteran, including survivor benefits claims. Therefore, the development activity is not able to request STRs from HAIMS when STRs are required to decide a survivor benefits claim if
The table below describes the process for obtaining STRs for survivor benefits claims in these circumstances.
References: For more information on
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III.iii.2.B.3.i. Accessing Electronic Copies of Health Records Through JLV |
JLV is a web-based viewer that delivers real-time access to DoD and VA electronic health information to RO personnel. Records that are viewable in JLV include
VA employees must check JLV for the availability of these in-service treatment records anytime
Note: Because DoD certifies as complete the collection of STRs it stores electronically in HAIMS, any electronic copies of STRs that VA can access through JLV should be identical to records uploaded to the VBMS eFolder via the automated request for STRs from HAIMS.
References: For more information about
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III.iii.2.B.3.j.Associating Health RecordsLocated in JLV |
Claims processors that identify and access health records in JLV, as described inM21-1, Part III, Subpart iii, 2.B.3.i, must associate the relevant records with the claims folder.
Follow the steps in the table below to associate records with the claims folder.
Important: STRs obtained via JLV and uploaded to VBMS must include a copy of the DD Form 2963, if one is available.
References: For more information about
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III.iii.2.B.3.k. Requesting STRs From NPRC |
NPRC houses STRs of Veterans whose service ended prior to the dates shown inM21-1, Part III, Subpart iii, 2.A.3.d.
M21-1, Part III, Subpart iii, 2.A.3.h contains instructions for requesting STRs from the NPRC.
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III.iii.2.B.3.l. Requesting STRs for Veterans Discharged During the Transition from Paper to Electronic STRs |
The military services stopped submitting paper STRs to the VA, effective January 1, 2014. However, the original paper STRs for Veterans separating or retired between September 1, 2013, and December 31, 2013, may not have been sent to VA by the January 1, 2014, cutoff date.
The military services created electronic copies of these STRs and uploaded the records into HAIMS. VBMS would not automatically generate a request for these STRs because the latest RAD in VA systems would be before January 1, 2014.
Follow the steps in the table below to request STRs for Veterans discharged from service during the transition from paper to electronic STRs.
References: For more information about
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4. Procedures for Obtaining Clinical Records
Introduction |
This topic contains general information on clinical records including |
Change Date |
March 1, 2019
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III.iii.2.B.4.a. When Clinical Records AreRetired |
Based on the branch of service and type of treatment received, clinical records are retired to NPRC.
Follow the instructions in the table below to determine when clinical records of treatment before 2003 are retired.
Notes:
References: For more information on
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III.iii.2.B.4.c. Locating Clinical Records |
Clinical records are rarely included in STRs because the treating facilities that create them retain the records for the time periods shown in the table below and then send them to NPRC.
Hospital summaries take the place of clinical records in STRs. Normally, these summaries are adequate for rating purposes. When review of the actual clinical records is necessary, request them from the treating facility or NPRC (whichever has custody).
Important: If a Veteran was treated in an MTF after 2003, VA employees may access electronic copies of his/her clinical records in JLV, as indicated in M21-1, Part III, Subpart iii, 2.B.4.a.
References: For more information about
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III.iii.2.B.4.d. When to Request Clinical Records From NPRC |
Requests for clinical records must be made to NPRC when
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III.iii.2.B.4.e. How to Request Clinical Records from NPRC |
When requesting NPRC to search for clinical records, submit a request through PIES that includes
Note: If requesting mental health records, input mental health as the alleged disease or injury.
Use the information in the following table to determine which PIES request code to use when requesting the treatment records from NPRC.
Example: A Veteran who served 4 years in the Army submits a claim for service connection for a condition he was treated for as an inpatient 20 years ago at Madigan Army Medical Center. It is determined that clinical records are needed to adjudicate the claim. The claim is being processed in VBMS.
Analysis: In this case, since it can be determined with a high degree of certainty that the required clinical records are retired, the development activity will not submit a request directly to the MTF. Instead, it will request records from NPRC by using PIES request code CO1-V.
Notes:
References: For information on
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III.iii.2.B.4.f. How to Request Clinical Records from an MTF |
If the clinical records are maintained at an MTF and cannot be obtained using JLV, submit a request to the treating facility by using a VA Form 21-8359, Information Re Veteran in Uniformed Services Hospital (Request by Department of Veterans Affairs).
The request to an MTF must include the
Important: Use a VA Form 21-8359 and VA Forms 21-4142, Authorization to Disclose Information to the Department of Veterans Affairs (VA), and 21-4142a, General Release for Medical Provider Information to the Department of Veterans Affairs (VA), when requesting health care records that pertain to the claimant’s sensitive diagnosis and treatment.
Note: If a custodian provides a negative response to a clinical records request, the claims processor must prepare a final notification letter in accordance with the procedures contained in M21-1, Part III, Subpart iii, 1.C.1.e.
References: For more information on
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III.iii.2.B.4.g. Clinical Records Destroyed in the Fire at NPRC |
Clinical records documenting inpatient care prior to 1960 for Army personnel, and prior to 1957 for Air Force personnel, were usually filed in the Veteran’s Official Military Personnel File (OMPF). Therefore, many of the clinical documents recording the care for Army and Air Force Veterans were destroyed in the OMPF during the 1973 fire at NPRC.
Exception: Clinical records dated prior to 1957 for Army hospitals, and prior to 1951 for Air Force hospitals, that were maintained at clinical records libraries were not destroyed in the 1973 fire. There are also small, scattered collections of records from years earlier than 1951 and some alternate sources of evidence and records for the fire-related period.
References: For more information on
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5. Locating and Obtaining Army OMPFs
Introduction |
This topic contains instructions for locating and obtaining Army OMPFs, including |
Change Date |
July 23, 2015
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III.iii.2.B.5.b. Location of OMPFs and the Means for Requesting Copies |
Use the information in the table below to determine
References: For more information about using
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6. Locating and Obtaining Navy Personnel Records
Introduction |
This topic contains information about locating and obtaining Navy personnel records, including the location of Navy |
Change Date |
August 21, 2014 |
III.iii.2.B.6.a. Location of Navy Personnel Records and the Means for Requesting Copies |
Use the information in the table below to determine
References: For more information about using
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7. Locating and Obtaining Air Force Personnel Records
Change Date |
July 23, 2015 |
III.iii.2.B.7.a. Location of Air Force Personnel Records and the Means for Requesting Copies |
Use the information in the table below to determine
References: For more information about using
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8. Locating and Obtaining Marine Corps Personnel Records
Change Date |
August 21, 2014 |
III.iii.2.B.8.a. Location of Marine Corps Personnel Records and the Means for Requesting Copies |
Use the information in the table below to determine
References: For more information about using
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9. Locating and Obtaining Coast Guard Service Records
Introduction |
This topic contains information about locating and obtaining Coast Guard service records, including
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Change Date |
March 1, 2019 |
III.iii.2.B.9.a. Migration of Coast Guard Service Records When No Further Service Obligation Exists |
When an individual is discharged from the Coast Guard with no further service obligation, his/her personnel records are sent to NPRC. Use the table below to determine the location of the individual’s STRs.
References: For more information about the storage of records at
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III.iii.2.B.9.b. Migration of Coast Guard Service Records When a Reserve Obligation Exists |
The table below outlines the migration of Coast Guard service records after a service member separates from service with a Reserve obligation.
References: For more information about
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III.iii.2.B.9.c. Migration of Service Records After a Coast Guard Reservist Retires or Completes His/Her Service Obligation |
When a reservist’s service obligation ends or he/she retires from the Reserve, the reservist’s service records are first sent to the Coast Guard PSC.
The table below contains information about the processing of service records after they arrive at the Coast Guard PSC.
Note: It may take up to six months following the date the Reserve obligation ends, the service member retires from the Reserve, or he/she turns 60 before NPRC receives personnel records from the Coast Guard PSC, Business Operations Staff, Military Records Branch (PSC-BOPS-MR).
If these records are not obtained after the suspense date for the initial PIES request to address code 51 has expired, follow the guidance in M21-1, Part III, Subpart iii, 2.I.3.d.
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III.iii.2.B.9.d. Locating Service Records Not Found at NPRC or RMC |
Use the table below to locate OMPFs or STRs for a particular Veteran if negative responses for the records are received from NPRC, RMC, or the records are not available in HAIMS.
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III.iii.2.B.9.e. Requesting Coast Guard Investigative Reports |
To obtain investigative reports from the Coast Guard Investigative Service, direct the request to
Langston Brooks
FOIA/Privacy Act Officer Case Management Specialist Coast Guard Investigative Services 2703 Martin Luther King Jr Ave SE
Washington, DC 20593
Phone: (202) 372-3039
Fax: (202) 372-8440 Important: The request must contain the
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3-1-19_Key-Changes_M21-1III_iii_2_SecB.docx | May 12, 2019 | 97 KB |
Historical_M21-1III_iii_2_SecB_12-15-2015.docx | May 12, 2019 | 116 KB |
Historical_M21-1III_iii_2_SecB_11-4-16.docx | May 12, 2019 | 147 KB |
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Historical_M21-1III_iii_2_SecB_8-6-15.docx | May 12, 2019 | 110 KB |
Historical_M21-1III_iii_2_SecB_7-24-17.docx | May 12, 2019 | 149 KB |
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Historical_M21-1III_iii_2_SecB_4-21-16.docx | May 12, 2019 | 132 KB |
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Historical_M21-1III_iii_2_SecB_1-27-16.docx | May 12, 2019 | 117 KB |
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Change-July-23-2015-Transmittal-Sheet-M21-1III_iii_2_SecB_TS.docx | May 12, 2019 | 44 KB |
Change-December-19-2014-Transmittal-Sheet-M21-1MRIII_iii_2_SecB_TS.docx | May 12, 2019 | 38 KB |
in Chapter 2 Developing for Service Records, Part III General Claims Process, Subpart iii General Development and Dependency Issues
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