SUBJECT:  Workflow control procedures and priority levels in reference service

1. Purpose.  This memorandum establishes priority levels in Centerwide reference service and prescribes the manner in which priority levels are identified.

2. Cancellation.  NPRC 1864.101C is canceled.

3. Reason for revision.  This memorandum is revised to update procedures and forms used in administering workflow control procedures and identifying priority levels in reference service.

4. Applicability.  The provisions of this memorandum are applicable to personnel in correspondence, search, and mail operations.

5. Instructions.  The instructions for administering workflow control procedures and identifying priority levels in reference service are in the Attachment.

6. Forms.  This memorandum provides for the use of the following forms:

 NA Form 13018, Reply to Inquiry (NCP)
 NA Form 13135, Reply to Follow-up Request
 VA Form 3101, Request for Information
 VA Form 3245, Special Tag
 

DAVID L. PETREE
Director

SUBJECT:  Workflow control procedures and priority levels in reference service

1. Purpose.  This memorandum transmits a revised page to NPRC 1864.101D.

2. Explanation of change.  The list of first priority requests (app. B) has been updated to include medical emergency and news media requests.  In addition, pay vouchers have been removed from and OPF's added to the types of records available at CPR for records reconstruction purposes.

3. Instructions.  Remove app. B and insert revised page.
 

DAVID L. PETREE
Director

SUBJECT:  Workflow control procedures and priority levels in reference service

1.  Purpose.  This memorandum transmits revised pages to NPRC 1864.101D.

2.  Explanation of change.  The Color Code Guide (app. A) is update.

3.  Instructions.  Remove fig. 1 and app. A and insert revised pp.
 

DAVID L. PETREE
Director

SUBJECT:  Workflow control procedures and priority levels in reference service

1.  Purpose. This memorandum transmits revised pages to NPRC 1864.101D.

2.  Explanation of change.  The Color Code Guide (app. A) is updated.

3.  Instructions.  Remove fig. 1 and app. A and insert revised pp.
 

DAVID L. PETREE
Director

SUBJECT:  Workflow control procedures and priority levels in reference service

1.  Purpose. This memorandum transmits revised pages to NPRC 1864.101D.

2.  Explanation of change.  The Color Code Guide (app. A) is updated.

3.  Instructions.  Remove fig. 1 and app. A and insert revised pp.
 

R. L. HINDMAN
Director

NPRC 1864.101D CHGE 11
February 28, 2003

1.  Purpose.  This memorandum transmits revised pages to NPRC 1864.101D.

2.  Explanation of change.  The Color Code Guide (app. A) is updated.

3.  Instructions.  Remove fig. 1 and app. A and insert revised pp.

R. L. HINDMAN
Director

NPRC 1864.101D CHGE 12
January 12, 2004

1.  Purpose.  This memorandum transmits revised pages to NPRC 1864.101D.

2.  Explanation of change.  The Color Code Guide (app. A) is updated.

3.  Instructions.  Remove fig. 1 and app. A and insert revised pp.

R. L. HINDMAN
Director

1. General.  NPRC's prime objective is to provide 24-hour reference service.  This objective is not always possible to achieve; the pending workload can build up in various work elements.  Thus, it is necessary to identify those requests which require faster service than they would receive in the normal workload.  A "first come--first served" policy is established on all others.  The following control procedures enable supervisors to evaluate the timeliness of service by observing the workload on hand.  Supervisors should use judgement in applying this directive to specific situations.

2. Responsibilities.  Personnel in incoming mail, correspondence, and search operations are responsible for:

• Recognizing the priority level of each request they receive;
• attaching appropriate color control tabs and red tags;
• grouping requests by priority level; and
• routing requests for action as prescribed in existing routing procedures.

3. Color code tabs.  Color code tabs are printed in seven different colors.  They provide the basic media for administering the "first come--first served" policy.  A different color is used for each week's inquiry receipts, providing a seven week span of control.  This span is tripled to twenty-one weeks by use of the letters "A," "B," and "C."  The seven colors are designated by the first letter of the name of the color; e.g., "Y" for "yellow", plus the letter "A," "B," or "C,"  and a digit to designate the day of the week "1" (for Monday), "2" (for Tuesday), etc.  This preprinted code is called the "charge code" (see subpar 7b).  The seven colors used for color code tabs and the charge codes are shown in app. A.  Colors appear in alphabetical order.  The twenty-one week series of color code tabs starts over on Monday of each twenty-second week.

4. Attaching color code tabs.  A color code tab is attached to all requests with the following exceptions:  Postal Service money orders, Medicare, IRS, and Treasury check requests; local agency requests delivered and picked up by the agency; and loans and transfers received at MPR.  Aside from these, no request shall be released from the point of receipt, for any reason, prior to attaching the appropriate tab.  Incoming mail operations ensure that all requests not tabbed on date of arrival are tabbed at the beginning of the next work day with the tab indicating the date of arrival.  The color code tab is stapled in the upper right corner so that it extends about one inch above the top edge of the request.  (See fig. 1.)  EXCEPTION:  For automated VA Forms 3101, Request for Information, staple color code tab in the upper left corner.

5. Color code control.  As requests are serviced in the various operating elements, color code tabs serve as the guide within each priority level for work assignments and pending workload assignment.  There are two categories of pending workload assignment; i.e., first priority (red tag) and second priority (routine).  The assignment of work should follow the time sequence presented in app. A.  Requests delayed for any reason at any servicing point are, when again activated, advanced to a point in the pending workload where like color code tabs prevail.  Should such a request bear a tab indicating receipt in the Center EARLIER than all others in the workload, it is advanced ahead of the rest and TREATED AS A FIRST PRIORITY INQUIRY.

6. Identifying and attaching red tags.  First priority level requests (red tags) are identified in app. B.  Identify priority level requests by stapling two tags to the upper right corner.  For first priority requests, attach a red tag so that it extends approximately 1-3/4" above the top edge.  Second, attach a color code tab over (but not completely covering) the red tag so that it extends approximately 1" above the top edge of the request.  (See fig. 1.)

NOTE:  Because some first priority level requests are readily identifiable in the pending workload, they do not require the attachment of a red tag.  These requests are noted in app. B.

7. Handling of first priority requests.  Special handling of a first priority request begins immediately following the identification of the request in the pending workload followed by the attachment of the color code tab (and the attachment of the red tag, if required).

     a. Incoming mail operations.  Mail clerks code first priority level requests for appropriate operating element and route them to the supervisor of the appropriate search section.  (EXCEPTIONS:  Congressional requests are routed to the Special Inquiries Section (NCPMF-I); and court orders/subpoenas are routed to the appropriate correspondence section chief.)  Mail clerks hand-carry requests to a designated point in their unit to ensure they are included in the next messenger service.  At MPR, these requests are placed in "Priority Mail" jackets.  These jackets are marked to have a high visual impact and are easily recognizable from other mail jackets.  If it is known that the "priority mail messenger" cannot deliver first priority requests to operating branches within the hour, the requests are hand-carried to operating branches by another messenger.

     b. Search and correspondence operations.  It is mandatory that all Priority Mail jackets be opened as soon as received, and requests assigned for immediate service.  Supervisors, lead technicians, and batch clerks making work assignments must exercise judgement as to the number of requests to include in each batch of work.  In those instances requiring referral of a request for further action from one operating element to another, the supervisor or designee hand-carries the request.  Chargeouts are prepared showing the "charge code" and the word "RED."  If the record is charged out, show the "charge code" on the search request with the word "RED."

8. Second priority requests.  These requests are routine in nature and of regular priority level.  They constitute the bulk of the Center's reference service workload and comprise all requests not considered to be in the first priority level.  All employees, especially supervisors, must remain alert to the need to process cases in date tag order.

9. Locating and examining the oldest cases in the pending workload.  Supervisors, lead technicians, and batch clerks should be alert for the oldest cases in the pending workload, especially those which may be missing a date tag.  In order to keep inquiries flowing steadily through the Center in the shortest possible time, supervisors need to examine and account for old cases.  Recurring problems should be reported to the branch chief.  Requests should not run the risk of becoming seven weeks old.  Cases that are 45-days old are pulled out of the pending workload and given to the supervisor, who issues specific instructions to complete these cases within ten working days.  Branch chiefs are responsible for establishing additional procedures to review old inquiries in their respective branches.

10. Identification, coding, and routing of tracers.  Incoming mail operations attach a tracer tag when the words "tracer," "second request," "third request," or "follow-up request" appear on the inquiry.  Tracer and follow-up requests may become complaints if not handled properly.  Consequently, although all follow-up requests are not classified as complaints, a few may need to be upgraded to first priority level status depending upon the seriousness expressed.  (See app. C.)  Follow-up requests and tracers are coded to the appropriate work level and are routed to the appropriate search operation.

     a. Record found containing evidence of reply to original inquiry.  Take no action on follow-up if evidence is found indicating that original inquiry has been answered within seven workdays prior to the date of follow-up.  File follow-up without action.  If original inquiry was answered more than seven workdays prior to date of follow-up, make photocopy of previous action taken.  Prepare NA Form 13135, Reply to Follow-up Request, in duplicate.  Send original NA Form 13135 and a photocopy of previous action taken.  File copy of NA Form 13135, the previous action taken, and follow-up request in the record.

     b. Record found containing no evidence of reply to original inquiry.  Respond to inquiry as if it were the original.  Transmit response using NA Form 13135, checking the second block.

11. Telephone requests.  A telephone request is a first priority level request ONLY IF IT IS IDENTIFIED AS ONE OF THE TYPES OF REQUESTS IN APP. B.  Consult the latest revisions of NPRC 1865.8, Inquiries received by telephone at NPRC (MPR), or NPRC 1867.45, Telephone inquiries.

12. FAX or express mail requests.  The sole fact that a request is received via FAX or express delivery and/or express return is requested or prepaid does not determine priority handling status.  These requests are first priority level requests ONLY IF THEY ARE IDENTIFIED AS ONE OF THE TYPES OF REQUESTS IN APP. B.

13. Tags placed on correspondence by another agency.  The presence of tags placed on Center correspondence by another agency or office does not determine first priority level status within the Center.  These tags, such as VA Form 3245, Special Tag, (pink in color), should be ignored or discarded.  The request is a first priority level request ONLY IF IT IS IDENTIFIED AS ONE OF THE TYPES OF REQUESTS IN APP. B.

Figure 1:  Attaching color code tabs and red tags

Appendix A:  Color Code Guide for period Jan. 3, 2000, thru Dec. 29, 2000
 

COLOR CODE GUIDE (Date of arrival in Center)
Work Week	Tab Color	Mon.	Tue.	Wed.	Thu.	Fri.
Dec 29 - Jan 2	Yellow	YA1	YA2	YA3	YA4	YA5
Jan 5 – 9	Blue	BA1	BA2	BA3	BA4	BA5
Jan 12 - 16	Green	GA1	GA2	GA3	GA4	GA5
Jan 19 - 23	Orange	OA1	OA2	OA3	OA4	OA5
Jan 26 - 30	Pink	PB1	PB2	PB3	PB4	PB5
Feb 2 – 6	Tan	TB1	TB2	TB3	TB4	TB5
Feb 9 - 13	White	WB1	WB2	WB3	WB4	WB5
Feb 16 - 20	Yellow	YB1	YB2	YB3	YB4	YB5
FEB 23 - 27	Blue	BB1	BB2	BB3	BB4	BB5
Mar 1 – 5	Green	GB1	GB2	GB3	GB4	GB5
Mar 8 – 12	Orange	OB1	OB2	OB3	OB4	OB5
Mar 15 - 19	Pink	PC1	PC2	PC3	PC4	PC5
Mar 22 - 26	Tan	TC1	TC2	TC3	TC4	TC5
Mar 29 – Apr 2	White	WC1	WC2	WC3	WC4	WC5
Apr 5 – 9	Yellow	YC1	YC2	YC3	YC4	YC5
Apr 12 – 16	Blue	BC1	BC2	BC3	BC4	BC5
Apr 19 – 23	Green	GC1	GC2	GC3	GC4	GC5
Apr 26 – 30	Orange	OC1	OC2	OC3	OC4	OC5
May 3 - 7	Pink	PA1	PA2	PA3	PA4	PA5
May 10 - 14	Tan	TA1	TA2	TA3	TA4	TA5
May 17 - 21	White	WA1	WA2	WA3	WA4	WA5
May 24 – 28	Yellow	YA1	YA2	YA3	YA4	YA5
May 31 – Jun 4	Blue	BA1	BA2	BA3	BA4	BA5
Jun 7 – 11	Green	GA1	GA2	GA3	GA4	GA5
Jun 14 – 18	Orange	OA1	OA2	OA3	OA4	OA5
Jun 21 – 25	Pink	PB1	PB2	PB3	PB4	PB5
Jun 28 – Jul 2	Tan	TB1	TB2	TB3	TB4	TB5
Jul 5 – 9	White	WB1	WB2	WB3	WB4	WB5
Jul 12 – 16	Yellow	YB1	YB2	YB3	YB4	YB5
Jul 19 - 23	Blue	BB1	BB2	BB3	BB4	BB5
Jul 26 - 30	Green	GB1	GB2	GB3	GB4	GB5
Aug 2 – 6	Orange	OB1	OB2	OB3	OB4	OB5
Aug 9 – 13	Pink	PC1	PC2	PC3	PC4	PC5
Aug 16 – 20	Tan	TC1	TC2	TC3	TC4	TC5
Aug 23 – 27	White	WC1	WC2	WC3	WC4	WC5
Aug 30 – Sep 3	Yellow	YC1	YC2	YC3	YC4	YC5
Sep 6 – 10	Blue	BC1	BC2	BC3	BC4	BC5
Sep 13 – 17	Green	GC1	GC2	GC3	GC4	GC5
Sep 20 –24	Orange	OC1	OC2	OC3	OC4	OC5
Sep 27 – Oct 1	Pink	PA1	PA2	PA3	PA4	PA5
Oct 4 – 8	Tan	TA1	TA2	TA3	TA4	TA5
Oct 11 – 15	White	WA1	WA2	WA3	WA4	WA5
Oct 18 – 22	Yellow	YA1	YA2	YA3	YA4	YA5
Oct 25 – 29	Blue	BA1	BA2	BA3	BA4	BA5
Nov 1 – 5	Green	GA1	GA2	GA3	GA4	GA5
Nov 8 – 12	Orange	OA1	OA2	OA3	OA4	OA5
Nov 15 – 19	Pink	PB1	PB2	PB3	PB4	PB5
Nov 22 – 26	Tan	TB1	TB2	TB3	TB4	TB5
Nov 29 – Dec 3	White	WB1	WB2	WB3	WB4	WB5
Dec 6 – 10	Yellow	YB1	YB2	YB3	YB4	YB5
Dec 13 - 17	Blue	BB1	BB2	BB3	BB4	BB5
Dec 20 - 24	Green	GB1	GB2	GB3	GB4	GB5
Dec 27 – 31	Orange	OB1	OB2	OB3	OB4	OB5

Appendix B. First priority requests
 

FIRST PRIORITY REQUESTS Complaints (see app. C). Burial and body held requests.  See latest revision of NPRC1865.42, Burial requests from national cemeteries. News media requests. Telephone requests related to medical emergencies.  See latest revisions of NPRC1865.8, Inquiries received by telephone at NPRC (MPR), or NPRC 1867.45, Telephone inquiries. Congressional requests.  See latest revision of NPRC 1865.12, Congressional inquiries at NPRC (MPR), or NPRC 1867.55, Congressional inquiries at NPRC (CPR). White House requests and other VIP requests; e.g., state governors, heads of Federal agencies, etc. Court orders and subpoenas.  See latest revision of NPRC 1864.107, Legal demands for records and/or information. Affidavits, declarations, or requests for certified records from attorneys to be used in litigation (discovery) and accompanied by veteran's authorization. Workmen's compensation claim accompanied by a court order/subpoena. Requests specifying deadlines within 14 calendar days of date of receipt. Requests from Federal Probation Offices specifying deadlines within 30 calendar days of date of receipt. Fire-related requests specifying ANY deadline, regardless of time span. Requests from the Research Room.  (Red tags are attached by the research room attendants.)  See latest revision of NPRC 1864.112, Requests received in the NPRC Research Rooms. Requests returned without action from offices to which they were referred by NPRC.  (This occurs when NPRC has forwarded a request to the office holding the necessary records, but before receiving the request, that office returned the records to NPRC, and so must also return the request.)

DO NOT ATTACH A RED TAG TO THE TYPES OF CASES LISTED BELOW

Loan and transfer of records requests received at MPR. Homeless veteran requests.  See latest revision of NPRC 1865.117, Processing requests for service information for homeless veterans. Record reconstruction requests involving x-rays or OPF's at CPR (these requests are from MPR). Requests from the IRS or Postal Service for money orders.

Appendix C: Complaint cases

COMPLAINT CASES

A complaint concerning service provided by NPRC is defined as any written or telephone communication indicating dissatisfaction, aggravation, anger, etc., or making allegations against the Center for:

• Failure to respond to a request;
• failure to respond to a request within a reasonable time;
• furnishing incorrect/insufficient information or records;
• denying requested information/records to which requester felt entitled;
• releasing information/records to unauthorized sources;
• returning requests for more information when none was available;
• being unable to find the records needed to answer an inquiry;
• refusing to accept a request by telephone;
• charging fees erroneously;
• incorrectly forwarding a request to another office; and
• advising requester that required records were apparently lost in the 1973 fire.

Most tracers or second requests are not classified as complaint cases.  (See par. 10.)  However, second requests received through members of Congress, or those that contain a warning that a member of Congress will be contacted, are handled as complaints.  Any second request which faults or criticizes the Center for its service is classified as a complaint.

A request which indicates that a prior request to NPRC has not been answered is a complaint of NPRC inaction.  However, if the requester has previously written another agency which has referred the requester to NPRC, the request is not a complaint of the Center.

See latest revision of NPRC 1804.1, Signature authority, Center correspondence.