**Veterans Benefits Administration M21-1, Part III**

**Department of Veterans Affairs Change 114**

**Washington, DC 20420 March 3, 2004**

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

**Pages 1-7 and 1-8**: Remove these pages and substitute pages 1-7 and
1-8, attached.

Paragraph 1.04f.(4) is revised to add subparagraph (e), which provides
procedures to follow when non-essential mail is returned as
undeliverable and the record shows that benefits are being paid by
direct deposit.

**Pages 4-i and 4-ii**: Remove these pages and add pages 4-i and 4-ii,
attached.

**Page 4-V-5**: Remove this page and add 4-V-5 attached.

Paragraph 4.29b is revised to show that the M21-1MR cross reference is
Part I, 1.C.5.f., not Part I, B.3.C.5.f.

**Page 4-XI-1**: Add this page.

Subchapter XI and Paragraph 4.42 have been added to provide procedures
for requests by the Defense Manpower Data Center for the return of
service medical records, as well as instructions for use of the SMR
Mobilization Web Application.

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

Chapter 4, Addendum C has been revised to show a new address and phone
number for Code 22.

**Pages 5-II-3 through 5-II-8:** Remove these pages and substitute pages
5-II-3 through 5-II-8, attached.

Paragraphs 5.11d and 5.12a.(5) have been revised to show updated Central
Office Compensation and Pension Service Staff titles.

Paragraph 5.12c.(6) has been revised to show the correct Department of
Energy addresses for radiation development cases.

Paragraph 5.12d.(6) has been revised to implement the findings of
*Wandel v. West*, which held that when the dose estimate from DTRA is
"zero," the file should not be submitted to Central Office. Instead, the
case should be submitted to the regional office rating activity for a
decision.

**Pages 5-B-19 and 5-B-20**: Remove these pages and substitute pages
5-B-19 and 5- B-20, attached.

Appendix B, Exhibit B-13 is revised to show that the
veteran's/claimant's phone number should be provided when requesting
radiation dose information from the Defense Threat Reduction Agency
(DTRA).

> By Direction of the Under Secretary for Benefits
>
> Ronald J. Henke, Director
>
> Compensation and Pension Service

Distribution: RPC: 2068

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

**March 3, 2004 M21-1, Part III**

**Change 114**

\(3\) If evidence essential to establish entitlement is sent to the
claimant\'s last known address and is returned unclaimed, do not extend
the time limit for submitting the evidence. In this situation consider
the claim abandoned after the expiration of 1 year from the date of
request. See 38 CFR 3.158(a).

\(4\) Non-essential mail is for information only. The most common
non-essential mail is the cost-of- living adjustment (COLA) notification
letter. If any non-essential correspondence is returned as
undeliverable, check to see if the United States Postal Service (USPS)
attached a yellow sticker containing the forwarding address to the
envelope. If so, re-mail the correspondence to the new address and
update the address in the master record and pending issue, if
applicable. Otherwise,

(a) Review the file to ensure the current address was used.

(b) Perform a SINQ to determine if either the pending issue or master
    record address is different from that of the returned mail, as in
    1.04f(2)(a) above.

(c) Access Share to determine if Social Security has a better address,
    as indicated in 1.04f(2)(b).

(d) Utilize the Internet web address locator for the returned mail, as
    indicated in 1.04f(2)(c).

(e) If the record shows that benefits are being paid by direct deposit,
    follow the procedure in 1.04f.(2)(e) above.

If all of these efforts fail to obtain a current address, the regional
office will send out a due process letter to the last address of record
and suspend benefits if no response is received within 60 days.

g\. **Claimant Unable/Unwilling to Furnish Address.** If a claimant is
unwilling or unable to furnish a current mailing address, send
correspondence and checks to the Agent Cashier of the regional office
that is adjudicating the claim or to the Agent Cashier of any VA
facility deemed to be appropriate. See 38 CFR 1.710(d).

\(1\) Checks will be returned to the Department of the Treasury if they
are not picked up in 60 days. This will suspend the account.

\(2\) If correspondence is not picked up from the Agent Cashier within
30 days, it is returned to the Veterans Service Center. Follow
undeliverable mail procedures (subpar. f(2) above).

**1.05 EVIDENCE REQUESTED FROM OTHER SOURCES**

a\. **Fees for Evidence.** VA is not authorized to pay a fee for copies
of public documents or other evidence from Federal, State or local
agencies or private sources. Most custodians of public documents furnish
copies to VA free of charge. If payment of a fee is required to obtain a
document, advise the claimant that VA is not authorized to pay the fee
and advise him or her how to secure the evidence. (VAOPGCPREC 07-95)

b\. **Where to Write for Vital Records.** The Department of Health and
Human Services publishes a booklet entitled \"Where to Write for Vital
Records,\" DHHS Publication (PHS) 1142. It furnishes addresses from
which certified copies of birth, death, marriage and divorce documents
can be obtained. Request vital records by sending FL 21-107 or a locally
generated letter to the address shown in that publication.

**1.06 ACCEPTABLE EVIDENCE (38 CFR 3.204)**

> a\. **Types of Information Required.** In most cases, VA will accept
> the written statement of the

claimant as proof of marriage, dissolution of a prior marriage, birth of
a child, or death of a dependent. The statement *must* contain the
following:

-   The date (month and year) and place of the event;

-   The full name and relationship of the other person to the claimant;
    **1-7**

    **M21-1, Part III March 3, 2004**

    **Change 114**

-   The name and address of the person who has custody of the child, if
    the claimant's dependent child does not reside with the claimant;
    and

-   The Social Security number of any dependent on whose behalf the
    claimant is seeking benefits.

    b\. **Types of Evidence Requested.** VA shall require the types of
    evidence (primary or secondary)

    indicated in 38 CFR 3.205 through 3.211 when:

-   The claimant does not reside within a state;

-   The claimant's statement on its face raises a question of validity;

-   The claimant's statement conflicts with other evidence or record; or

-   There is a reasonable indication, in the claimant's statement or
    otherwise, of fraud or misrepresentation of the relationship in
    question.

**1.07 PHOTOCOPIES (38 CFR 3.204)**

a\. **General**. Copies or abstracts of public documents, e.g. marriage
certificates, birth certificates, death certificates, are acceptable as
evidence if the Department of Veterans Affairs is satisfied the copies
are genuine and free from alteration or defect. Otherwise, VA may
request a copy of the document certified over the signature and official
seal of the person having custody of such record.

b\. **Military Service**. A copy of an original document is acceptable
if the copy is: 1) issued by the service department, 2) issued by a
public custodian of records who certifies that it is a true and exact
copy of the document in the custodian's custody, or 3) submitted by an
accredited agent, attorney, or service organization representative who
has successfully completed VA-prescribed training on military records
and who affixes a stamp to the document with the following language and
his or her signature:

> "I \[name, title, organization\] certify that I have completed the
> VA-prescribed training
>
> on certification of evidence for proof of service and that this is a
> true and exact copy
>
> of either an original document or of a copy issued by the service
> department or public
>
> custodian of records."

\[Full Signature and Date\]

**1.08 NEW AND MATERIAL EVIDENCE (38 CFR 3.156)**

a\. A claimant must submit \"new and material\" evidence to reopen a
claim which has become final because the appeal period has expired or
the appellate review has been completed.

\(1\) To qualify as \"new\" evidence under 38 CFR 3.156, evidence must
be submitted to VA for the first time. For example, a veteran injured
while on duty may not have realized immediately that the condition
required medical attention and may have sought treatment later that
evening from a private physician. A compensation claim might later be
denied if the service medical records contain no mention of treatment
for the condition. If the claimant subsequently submits proof of
treatment by the civilian physician, that information would constitute
new evidence on which the claim could be reopened.

\(2\) A copy of information already contained in a VA claims folder does
not constitute new evidence since it was previously considered; nor does
information confirming a point already established, such as a statement
from a physician verifying the existence of a condition which has
already been diagnosed and reported by another physician. Even though
such a medical evaluation is from a different doctor, it offers no new
basis on which the claim might be reopened unless it contains new
information, such as evidence that the condition first manifested itself
earlier than previously established.

**1-8**

March 3, 2004 M21-1, Part III

Change 114

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-i**

**March 3, 2004 M21-1, Part III**

**Change 114**

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**

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

**SUBCHAPTER XI. REQUESTS BY DEFENSE MANPOWER DATA CENTER FOR RETURN OF
SMRS**

42. Procedures for Locating and Retrieving SMRs 4-XI-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

# 

# 4-ii 

**March 3, 2004 M21-1, Part III**

**Change 114**

\(2\) 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 address or telephone number listed in this chapter or the
appendices is 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, make a formal
finding regarding unavailability and inform the veteran of what evidence
we were unable to secure and the efforts made to secure the evidence.
([See also M21-1MR, Part I, 1.C.5.f.]{.underline})

> \(1\) 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. (See
[Addendum O]{.underline} of this chapter) Final approval rests with the
Service Center Manager (SCM) or his/her designee.

\(3\) After the finding is signed, the claimant will be contacted
telephonically. Fully advise the claimant of the determination 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.

**4-V-5**

# 

**March 3, 2004 M21-1, Part III**

**Change 114**

> **SUBCHAPTER XI. REQUESTS BY DEFENSE MANPOWER DATA CENTER FOR RETURN
> OF SMRS**

42. **Procedure for Locating and Retrieving SMRs**

A Memorandum of Agreement between VA and the Department of Defense (DoD)
requires VA to return, within 72 hours of a request by Defense Manpower
Data Center (DMDC), the SMRs of any former service member. Effective
August 11, 2003, the new process for locating and retrieving SMRs
belonging to former service members is as follows:

a.  **DMDC Request**. DMDC sends a batch of names, along with other
    identifying data, of individuals whose SMRs are needed to a server
    in Philadelphia.

-   The server then initiates a BIRLS query to determine whether the
    records are in VA's possession and, if so, their location.

-   If BIRLS shows the requested SMRs are located at RMC, the server
    sends e-mail notification to that facility

-   If BIRLS shows the requested SMRs are located at an RO, the server
    sends e-mail notification to both the director of that RO and its
    designated military records specialist (MRS)

b.  **VA Response**. Once the MRS (or designated RMC employee) receives
    notification that a request is pending:

-   He/she logs on to the SMR Mobilization website for additional
    details. Here will be displayed

-   the name and number of the veteran whose records have been
    requested, and

-   the address where the records must be shipped.

-   After searching for the records, the MRS must complete designated
    fields on the web page that DoD will access in order to

-   determine whether the requested records are available, and

-   track the return of the requested records.

-   The MRS or designated RMC employee then returns the records to DMDC
    via Federal Express, first making sure that copies of these records
    are in the claim file.

c\. **Access to SMR Mobilization Website.** In order to access the SMR
Mobilization website, users must first complete a short online
registration form at
[https://vbaw.vba.va.gov/apps/weblogon.asp]{.underline}.

d\. **User's Guide.** Detailed instructions for navigating the SMR
Mobilization website are contained in a user's guide at
[http://vbaw.vba.va.gov/bl/21/calendar/index.htm.]{.underline} The guide
also contains instructions for registering for access to this website.

**4-XI-1**

**March 3, 2004 M21-1, Part III**

**Change 114**

**ADDENDUM C**

**SERVICE REQUEST ADDRESSES AND TELEPHONE NUMBERS**

**[Address Code]{.underline} [Mailing Address]{.underline} [Telephone
Number]{.underline}**

10 National Archives and Records Administration (202) 501-5400

Washington, DC 20408

11 Commander (800) 318-5298

U.S. Army Reserve Personnel Command (AR-PERSCOM)

9700 Page Boulevard Fax (314) 592-1291

St. Louis, MO 63132-5200

13 National Personnel Records Center All branches (314) 538-2050\*

(Military Personnel Records) Fax (314) 538-4175

9700 Page Boulevard

St. Louis, MO 63132

\*This number should not be used by RO personnel to inquire about
records needed in conjunction with pending claims. The VALNO Number,
(314) 538-4278, should be used instead.

14 Commander (317) 510-3719

U.S. Army Enlisted Records & Evaluation Center

ATTN: (PCRE-FT)

8899 East 56^th^ Street

Fort Benjamin Harrison, IN 46249-5301

The Center also holds all service records of those enlisted men on the
Temporary Disability Retired List (TDRL) until a final determination is
made, sometimes years later. *Note:* TDRL Officers records are kept at:
Total Army Personnel Command, 200 Stovall, Alexandria, VA 22332-0400.

16 *For verification of status: active or discharged*

Defense Finance and Accounting Service (317) 510-2825

Indianapolis Center

ATTN: DFAS-IN-FJFC-I

Mail Stop 93

8899 E. 56th St.

Indianapolis, IN 46249-0875

17 Defense Finance and Accounting Service (800) 321-1080

U.S. Military Annuitant Pay

P.O. Box 7131

London, KY 40742-7131

18 Commander (703) 325-4547

Total Army Personnel Command

ATTN: TAPC-MSR-S

200 Stovall St.

Alexandria, VA 22331-4000

For records of Army officers on Active duty and officers who are on TDRL
only.

**4-C-1**

**M21-1, Part III March 3, 2004**

**Change 114**

**[Address Code]{.underline}** **[Mailing Address]{.underline}**
**[Telephone Number]{.underline}**

21 Air Reserve Personnel Center (DSMR) (303) 676-6147

Denver, CO 80280-4600

22 HQ AFPC/DPSFCMP (210) 565-2450

550 C St. W.

Suite 19

Randolph Air Force Base, TX 78150

25 Department of Defense (Air Force) (303) 676-6045

DFAS--DE/PCC

6760 E. Irvington Place

Denver, CO 80279-8000

31 Bureau of Naval Personnel (901) 874-3070

PERS-324 MPC 312

5720 Integrity Drive

Millington, TN 38055-3130

35 *Retired Pay*

Army, Navy, Air Force, Marine Corps

Defense Finance & Accounting Service 1-800-321-1080

U.S. Military Retirement Pay

P.O. Box 7130

London, KY 40742-7130

*For Navy Reserve, active duty, separation, severance pay*

Defense Finance & Accounting Service (216) 522-5534 or 5535\*\*\*

Cleveland Center 522-5637

ATTN: Code (FRAA)

1240 East Ninth St.

Anthony J. Celebrezze Federal Building #35

Cleveland, OH 44199

\*\*\*Use telephone number 522-5534 or 5535 for Reserve pay matters and
522-5637 for active duty/separation/severance pay matters.

36 Naval Reserve Personnel Center (866) 250-4778

4400 Dauphine St.

New Orleans, LA 70149-7800

*Note:* The Center retains all service records of those veterans with
Reserve obligations (not assigned to units). The Center also holds all
service records of those veterans on the Temporary Disability Retired
List (TDRL) until a final determination is made, sometimes years later.

41 Commandant (703) 784-3920/3921

Headquarters United States Marine Corps

ATTN: MMSB-10 (medical only) 784-3926

2008 Elliott Rd.

Quantico, VA 22134-5030

*Note 1:* Requests for records other than medical and TDRL records: Use
telephone number 784-3920 for records ending with Social Security
Numbers 00 through 49. Use 784-3921 for records with Social Security
Numbers ending with 50 through 99.

**4-C-2**

**March 3, 2004 M21-1, Part III**

**Change 114**

\(d\) Name of the veteran\'s organization or unit of assignment.

\(e\) Dates of assignment.

\(f\) Full description of duties and activities while a participant in a
radiation-risk activity.

\(g\) Specific disease entity consistent with those in paragraph 5.11b
above. (\"Cancer\" is not adequate; state \"cancer of the thyroid,\" for
example.) If the disease is skin cancer, the specific site of each
lesion is to be included.

\(h\) Citation of the specific law and regulations under which request
is made.

\(i\) A copy of the claimant\'s statement must be enclosed. If the
statement contains all the items listed in [4]{.underline} (a) through
(h) above, the development letter may refer to the \"attached
document.\" If the development includes a request for a dose assessment
under 38 CFR 3.311 (see par. 5.12 below), enclose a copy of the
information provided in response to development under this paragraph.
Include copies of available military documents provided by the claimant
(e.g., discharge certificate, orders, and other records in support of
claim).

\(5\) Military personnel who served in Japan after the end of World War
II must be a part of the occupation forces. Some claims folders may
contain VA Form 21-3101 on which the National Personnel Records Center
(NPRC) has stated that the veteran was a member of the occupation forces
of Japan. This certification may, in conjunction with all other
evidence, be sufficient to result in a favorable decision about the
veteran\'s participation in a radiation-risk activity. Such
certification from NPRC must contain sufficient information so that a
determination can be made about the veteran\'s presence within the city
limits of Hiroshima or Nagasaki, Japan as required by 38 CFR
3.309(d)(3)(vi).

d\. **Questions.** Direct any questions on this issue to the Central
Office Compensation and Pension Service Procedures Development Staff
(212A).

**5.12 DEVELOPMENT OF IONIZING RADIATION EXPOSURE UNDER 38 CFR 3.311**

a\. **General**

\(1\) The specific criteria for the adjudication of ionizing radiation
claims are in 38 CFR 3.311.

Because a claim based on exposure to ionizing radiation is a basic claim
for service connection, consider the claim concurrently under 38 CFR
3.303.

\(2\) The regional office is responsible for all development. Provisions
of 38 CFR 3.311(b)(1) require that:

-   The veteran was exposed to ionizing radiation as a result of
    participation in the atmospheric testing of nuclear weapons, the
    occupation of Hiroshima or Nagasaki, Japan from September 1945 until
    July 1946 or other activities as claimed;

-   The veteran subsequently developed a radiogenic disease; and

-   Such disease first became manifest within the period specified in 38
    CFR 3.311(b)(5).

    \(3\) If the rating activity determines that at least one of the
    requirements of 38 CFR 3.311(b)(1) is not met, deny the claim by
    formal rating decision (on the grounds that the disease did not
    result from exposure to ionizing radiation). Do *not* refer such
    cases to Central Office unless all of the requirements are met.

    **5-II-3**

    **M21-1, Part III March 3, 2004**

    **Change 114**

    \(4\) In all claims, if service connection cannot be granted under
    37 CFR 3.311(b)(1), review the record to determine if service
    connection can be established under 38 CFR 3.303 or other applicable
    regulations.

    \(5\) The rating activity will send the claim to Central Office
    Compensation and Pension Service, Policy Staff (211), for additional
    development if the three requirements under 38 CFR 3.311(b)(1) are
    met and development under this paragraph is completed.

    b\. **Initial Review.** The following steps apply only if the claim
    is substantially complete:

    \(1\) If a claim is received for service connection for a disability
    caused by exposure to ionizing radiation, the rating activity will
    review the claim and direct development to determine if service
    connection can be established under 38 CFR 3.303.

    \(2\) At the same time, the rating activity will review the claim to
    determine if the requirements for consideration of service
    connection under 38 CFR 3.311 are satisfied.

    \(3\) For purposes of 38 CFR 3.311(b), the evidence submitted or
    developed must show that:

    \(a\) The veteran has one of the radiogenic diseases listed in 38
    CFR 3.311(b)(2) or has submitted a verified medical opinion showing
    that an unlisted claimed condition is a radiogenic disease.

    \(b\) The veteran was exposed to ionizing radiation while a
    participant involving the atmospheric nuclear weapons testing, the
    post-war occupation of Hiroshima or Nagasaki from September 1945
    until July 1, 1946, POW internment in Japan, or there was exposure
    to ionizing radiation from other service activities (i.e., X-ray
    technician, reactor plant activities, nuclear medicine, radiography,
    etc.).

    c\. **Development**

    \(1\) In all cases, if a substantially complete claim under 38 CFR
    3.311 exists, obtain the following information:

    \(a\) The current diagnosis of the veteran\'s disease and, if known,
    the specific cell type and stage. If the disease is skin cancer, ask
    the claimant to provide the date that the disease was first
    diagnosed or treated, and the name and address of the physician or
    facility who made the diagnosis or who first treated the claimed
    condition. Obtain the names and addresses of any physicians and
    facilities who have made subsequent diagnoses or have provided
    treatment for the claimed condition. If possible, obtain the
    complete clinical records (not summaries) for all medical care
    relating to this disability and all tissue blocks, slides or other
    pathology samples.

    \(b\) The dates, places and circumstances of exposure to ionizing
    radiation must be of record for a claim to be considered
    substantially complete. Ask the claimant to provide this
    information. Also review the claims folder to obtain this evidence.

    \(c\) The veteran\'s history of exposure to known carcinogens,
    including a post-service occupational history. Ask if, either before
    or after service, there was exposure to a cancer-causing substance.
    If the claim is for skin cancer, include the extent of exposure to
    the sun, e.g., frequent sun bathing or occupations requiring working
    outdoors, and the specific site of each lesion. Request the
    veteran\'s smoking history.

    \(d\) The history of members of the veteran\'s family who have been
    diagnosed as having cancer. Ask whether members of the veteran\'s
    immediate family (parents, siblings) have had cancer or leukemia,
    birth defects, genetic disorders, etc.

    \(2\) Determine whether the veteran was at a Continental U.S.
    (CONUS) or Oceanic test series and send the appropriate
    questionnaire(s). See the sample questionnaires, one for CONUS and
    one for Oceanic, in exhibits B-14 and B-15.

    **5-II-4**

    **March 3, 2004 M21-1, Part III**

    **Change 114**

    \(3\) Obtain the following information in claims based on
    participation in the American occupation of Hiroshima or Nagasaki,
    Japan prior to July 1, 1946:

    \(a\) The organization or unit (ship, task group, company or
    squadron, etc.) and rank at the time of exposure.

    \(b\) The duty place and organizational unit from which the veteran
    may have been detailed.

    \(c\) Include activities and length of time in ground zero
    (hypocenter) area and how this area was

    recognized. Activities performed and time in the area are critical
    in determining a dose \[(dose rate)(time) = dose\]. Recognition of
    an area can be critical in determining and verifying participation.

    \(d\) A description from the veteran and from the service records of
    activities during the entire period of exposure including whether or
    not the veteran went ashore, length of time spent ashore and
    activities while ashore.

    \(e\) POW information for Hiroshima or Nagasaki to include dates and
    places of confinement, date

    and place of liberation, date and method of departure from Japan,
    and method of travel within Japan. Method of travel (such as a
    specific train over a specific route) can provide critical
    information in confirming participation.

    \(4\) For a claim based on exposure to ionizing radiation by reason
    of the nature of military duties

    (radiologist, x-ray technician, etc.), prepare a separate PIES
    request for a copy of the record of occupational exposure to
    ionizing radiation (i.e., DD Form 1141, which has been superseded by
    NAVMED 6470/10 and NAVMED 6470/11for the Navy, or the equivalent NRC
    Form 5 used by the Service, but is still used) from the Military
    Personnel Record Jacket (MPRJ) or any other records which contain
    radiation exposure information.

    For a claim based on U.S. atmospheric nuclear weapons test
    participation, post-war occupation

    of Hiroshima and Nagasaki, and POW internment in Japan, see
    paragraph 5.12d(2) and (3).

    For a claim based on non-U.S. atmospheric nuclear weapons testing
    (i.e., United Kingdom,

    China, France, Russia, etc.), also see paragraph 5.12e.

    \(5\) Each branch of service maintains a record of occupational
    radiation exposure. If a Service record of occupational exposure to
    ionizing radiation (i.e., DD Form 1141, which was superseded by
    NAVMED 6470/10 and 6470/11 for the Navy, or the equivalent NRC
    Form 5) is not found, prepare a written request to the appropriate
    branch of service. The request will contain identifying data as
    required by subparagraphs 5.12d(3)(a) through (g). The addresses for
    the branches of service are:

    Air Force Air Force Medical Operations Agency

    AFMOA/SGZR

    Radiation Health Program

    110 Luke Avenue, Room 405

    Bolling Air Force Base

    Washington, DC 20332-7050

    Telephone: (202) 767-4309, ext. 360

    **5-II-5**

    **March 3, 2004 M21-1, Part III**

    **Change 114**

    Army Director

    Proponency Office for Preventive Medicine -- San

    Antonio

    Attn: MCPO-SA

    2050 Worth Road, Suite 25

    Ft. Sam Houston, Texas 78234-6025

    Telephone: (210) 221-6612/6613

    Army Occupational Radiation Exposure Dose Information:

    Commander

    U.S. Army Aviation & Missile Command

    Attn: ASAM-TMD-SR-D

    Building 5417

    Redstone Arsenal, Alabama 35898-5000

    Telephone: (256) 876-7674

    Navy and Officer in Charge

    Marine Corps Navy Environmental Health Center Detachment

    Naval Dosimetry Center

    Bethesda, MD 20889-5614

    Telephone: (301) 295-5426

    Coast Guard Commandant

    U.S. Coast Guard (WKS-3)

    ATTN: Occupational Health Physician

    Washington, DC 20593-0001

    Telephone: (202) 267-1883

    \(6\) There are instances where military personnel were assigned to
    Atomic Energy Commission (AEC) laboratories during the testing
    period and were badged by the AEC facility. The Department of Energy
    central records repository should be included as a part of a
    comprehensive radiation records search. To request such a search,
    contact:

    1945 - Present U.S. Department of Energy

    Nuclear Test Archives

    c/o Bechtel Nevada

    Mail Stop 400

    P.O. Box 98521

    North Las Vegas, NV 89193-8521

    Telephone: (702) 295-0748/0714

    1987 - Present U.S. Department of Energy

    EH-32, 270-CC

    19901 Germantown Rd.

    Germantown, MD 20874

    Telephone: (301) 903-2297

    **5-II-6**

    **M21-1, Part III March 3, 2004**

    **Change 114**

    d\. **Dosimetry Information**

    \(1\) If the requirements under 38 CFR 3.311(b) have been met and
    the development specified by subparagraphs b and c above has been
    completed or there is evidence sufficient to establish the
    veteran\'s presence where radiation exposure existed, telephone
    Central Office Compensation and Pension Service, Policy Staff (211),
    at (202) 273-7210.

    \(2\) Note that the DTRA's Nuclear Test Personnel Review (NTPR)
    Program only provides dose estimates for individuals involved in
    U.S. atmospheric nuclear testing and the occupation of
    Hiroshima/Nagasaki. For all other dose estimates, the VARO will
    request all records concerning the veteran's exposure to ionizing
    radiation from the Services. When received, the VARO will forward
    the records to the Compensation and Pension Service, Policy Staff
    (211), for referral to the Under Secretary for Health, who will be
    responsible for preparation of a dose estimate, to the extent
    feasible, based on available methodologies.

    \(3\) The initial request to the Compensation and Pension Service
    should include the following:

-   File number

-   Social Security number

-   Service number

-   Period of service

-   Claimant\'s current telephone number and address

-   Veteran\'s date and place of birth

-   Nature of disability.

\(4\) For claims involving U.S. atmospheric nuclear weapons tests,
occupation of Hiroshima or Nagasaki, or POW interment in Japan, request
information regarding those tests from the following sources. Enclose a
copy of the claimant's response to the request for ionizing radiation
exposure information.

\(a\) After receiving the approval of the Compensation and Pension
Service, write a letter to the Defense

Threat Reduction Agency (DTRA), TDND-NTPR, 8725 John J. Kingman Rd.,
Stop 6201, Ft. Belvoir, VA

22060-6201. DTRA accepts requests for U.S. atmospheric nuclear test
participants (exposures through 1962) for non-presumptive claims without
respect to any specific participation periods.

\(b\) For individuals outside the scope of DTRA's NTPR program (i.e.,
X-ray technicians, reactor plant workers, nuclear medicine, radar,
radiography, etc.), a letter requesting dose information should be
written to the appropriate Service point of contact listed in Section
5.12(c)(5).

\(5\) If a dose estimate was submitted on behalf of the claimant \[38
CFR 3.311(a)(3)(ii)\], the rating activity will compare this estimate
with the response from the DoD or service departments or with official
military records and initiate additional development if needed.

\(6\) However, if the dose estimate received from the DTRA is "not
exposed," or "zero," then the case is not to be submitted to the
Compensation and Pension Service (see *Wandel v. West*, No. 94-1110,
April 7, 1998). Such a claim should be submitted to the RO rating
activity for a decision on the issue of service connection for residuals
of radiation exposure. "Not exposed" means there was no potential for
receiving a radiation dose. No radiological environment was entered to
receive a dose. "Zero dose" means there was a potential for a radiation
dose but the amount received was zero.

**5-II-7**

**March 3, 2004** **M21-1, Part III**

**Change 114**

e\. **Development for U.S. Veterans Involved in Non-U.S. Nuclear Bomb
Tests**

\(1\) Public Law 103-446 established veterans\' entitlement to the same
radiogenic conditions for participants in non-U.S. nuclear tests as for
participants in U.S. nuclear tests. See the sample questionnaire in
Exhibit B.16. Develop radiation dose information for non-U.S. test
participants, using the addresses and telephone numbers shown below.

\(2\) All requests involving *non-U.S. test participation* must be
clearly annotated. DTRA is not responsible for requests involving
non-U.S. test participants and will return these requests to the RO.

\(3\) For non-U.S. test participants involved in *flight missions*,
contact:

HQAFTAC

ATTN: IGO

1030 South Highway A1A

Patrick AFB, FL 32925-3002

Telephone: (321) 494-6867

FAX: (321) 494-2319

\(4\) For all other non-U.S. test participants, contact the appropriate
Service points of contact

identified in Section 5.12(c)(5).

f\. **Nasopharyngeal Radium Irradiation**

\(1\) Claims for service connection based on in-service treatment
involving nasopharyngeal radium

irradiation therapy (NRI) should be adjudicated under the provisions of
38 C.F.R. 3.311 with dose estimates prepared by the Under Secretary for
Health.

\(2\) Review the service medical, clinical and dental records for any
annotation of radium therapy. Even when service medical records do
verify NRI treatments, they may not contain detailed records of
radiation doses during treatment. If NRI treatment is verified, lack of
dose information should not prevent you from forwarding the claim to the
Compensation and Pension Service, Policy Staff (211). If service medical
records are not yet in file, request them. Also request information
concerning radiation exposure from standard sources. Be sure to ask the
veteran to furnish the date, place and the specific base and medical
facility where the NRI treatment was administered.

\(3\) The Department of Defense Radiation Experiments Command Center
(RECC) is responsible for

researching records from NPRC to respond to inquiries related to human
radiation experiments. As part of this responsibility, RECC has
researched radiation exposure involving NRI treatment at the Naval
Submarine Base, New London, CT for the period between 1944 and 1946.
RECC does *not* have records for veterans treated at other locations or
during other time periods. Those records should be requested through
regular sources. The request to RECC must furnish as much specific
information as possible to allow identification and research of records.
Request for information from RECC should be sent to the following
address:

Department of Defense

Radiation Experiments Command Center

ATTN: VARO NRI Information Inquiry

6801 Telegraph Rd.

Alexandria, VA 22310-33998.

**5-II-8**

**March 3, 2004 M21-1, Part III**

**Change 114**

**Appendix B**

**Exhibit B-12**

**Sample Development Letter to Service Department for Verification of
Claimed In-Service Stressor**

\[Address of Service Department\]

We are attempting to verify a veteran's claimed in-service traumatic
stressor(s). Information enclosed has been provided by the veteran or
the service department, or both, and includes the following:

FULL NAME:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

CLAIM NUMBER:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

SOCIAL SECURITY NUMBER:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

SERVICE NUMBER:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

REGIONAL OFFICE AND ADDRESS:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

UNITS OF ASSIGNMENT, COMPANY, BATALLION, REGIMENT, DIVISION:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

TYPE, PLACE AND DATE OF THE SPECIFIC STRESS INCIDENT(S) CLAIMED.
PARAPHRASE THE MEDICAL EVIDENCE DESCRIBING THE STRESSOR WHICH IS LINKED
TO THE ACTUAL DIAGNOSIS:

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

NAMES OF OTHER PERSONS INVOLVED IN OR AWARE OF THE INCIDENT (OR NAMES OF
CLOSE FRIENDS KILLED IN ACTION)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Also enclosed is a copy of a report of contact or a copy of the
veteran's statement involving the incident, and a copy of a DD Form 20
from the St. Louis NPRC, if available.

Any information you can provide will be greatly appreciated.

> Sincerely yours,
>
> \[Name and Title of Veterans Service Center Manager\]

**5-B-19**

**M21-1, Part III March 3, 2004**

**Change 114**

**Appendix B**

**Exhibit B-13**

**SUGGESTED LETTER TO USE TO REQUEST PARTICIPATION OR RADIATION DOSE
INFORMATION FROM THE DEFENSE THREAT REDUCTION AGENCY**

Defense Threat Reduction Agency 00/21

Attn: TDND/NTPR C 12 345 679

8725 John J. Kingman Rd., Stop 6201 JONES, John A.

Ft Belvoir, VA 22060-6201

Dear Sir/Madam:

We have received a claim for service connection under provisions of 38
C.F.R. 3.309 for conditions allegedly due to radiation risk activity.

Veteran's identifying information:

> Full name: John A. Jones
>
> VA Claim No: C 12 345 679
>
> Social Security No: 234 56 7890
>
> Branch of Service: Navy
>
> Assigned Unit: USS SEVERN (AO-61)

The veteran, Mr. Jones, participated in OPERATION CROSSROADS (ABLE &
BAKER) FROM July 7, 1946, to August 24, 1946. His duties and activities
included COOK.

The alleged radiogenic disease is SKIN CANCER \[specific site of lesion
must be included\]. A copy of the claimant's statement is enclosed.

The claimant's name and address is:

> John A. Jones
>
> 793 Smith St.
>
> Hometown, CA 92027
>
> Telephone:

Please verify the veteran's participation in the radiation risk activity
described above and provide the associated radiation dose. If no
individual radiation dose record is available, please provide a dose
reconstruction for his unit.

Please send your reply to \[give regional office address, as shown
below\]:

> Department of Veterans Affairs
>
> Regional Office
>
> 2022 Camino Del Rio North
>
> San Diego, CA 92108

Your assistance in this matter is appreciated.

> Sincerely yours,
>
> \[Name and Title of Veterans Service Center Manager\]

**5-B-20**