# Veterans Benefits Administration M21-1, Part III

**Department of Veterans Affairs Change 120**

**Washington, DC 20420 June 4, 2004**

Veterans Benefits Manual M21-1, Part III, "Authorization Procedures," is
changed as follows:

**Pages 4-V-1 and 4-V-2:** Remove these pages and substitute pages 4-V-1
and 4-V-2, attached.

The following changes are being made to correct various links in
paragraph 4.27.

Paragraph 4.27c.: Change the sentence beginning "See paragraph 4.30 . .
." to "See paragraph 4.28 . . ."

Paragraph 4.27c.(3), *Note*: Change ". . . see paragraph 4.30" to " . .
. see paragraph 4.29."

Paragraph 4.27c.(6) and (7): Change "See paragraph 4.30" to "See
paragraph 4.28."

> By Direction of the Under Secretary for Benefits
>
> Carolyn F. Hunt, Acting Director
>
> Compensation and Pension Service

Distribution: RPC: 2068

FD: EX: ASO and AR (included in RPC 2068)

**June 4, 2004 M21-1, Part III**

**Change 120**

**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
[4.28]{.underline} 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 [4.29]{.underline}.

\(4\) 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

**4-V-1**

**M21-1, Part III June 4, 2004**

**Change 120**

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 [4.28]{.underline}.

\(7\) Follow-up requests to service records centers by telephone should
be made only by the military records specialist. See paragraph
[4.28]{.underline}.

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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