NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
National Personnel Records Center
St. Louis, Missouri 63132-5100

NPRC 1865.22D
June 13, 2003

SUBJECT:  List cases

1. Purpose.  This memorandum provides instructions for handling list cases.
2. Cancellation.  NPRC 1865.22C is canceled.
3. Reasons for revision.  This memorandum is revised to reflect changes in processing list cases.  The way we process requests changed when CMRS was implemented.  Mailroom personnel no longer process ‘negatives’ (also known as ‘go backs’) or forward inquiries to other records locations.  Mailroom personnel create a batch for each potential list case and assign it to core managers/assistant managers for analysis and entering of individual requests.  A list case is assigned to one core technician who is responsible for processing the entire case.
4. Applicability.  The provisions of this memorandum are applicable to Mailroom personnel who are involved in creating and assigning list case batches, and personnel in reference cores.
5. Instructions.  The instructions for handling list cases are found in the Attachment.  See also the latest revision of NPRC 1865.49, Request for last known addresses or "whereabouts" information.
6. Forms.  This memorandum provides for the use of the following forms:

ATTACHMENT
LIST CASES

1. General information.  List cases are generally requests in which more than one name is submitted for action in a single piece of correspondence.  To make the best use of our resources, managers review all potential list cases before individual requests are created in CMRS and record searches are made.  They decide whether the case will be worked as a true list case or answered with one response.  One consideration is whether or not the information sought would be releasable if the request contained just one name.  If the decision is made not to work the case, it is returned to the requester with an appropriate explanation as to why we cannot be of assistance.
2. Multiple Standard Forms 180 and other request forms.  Multiple Standard Forms 180, Request Pertaining to Military Records, and other request forms, received in the same envelope, are not considered to be a list case and will be processed individually.
3. Reporting Work.  If the inquiry is returned to the requester as unworkable or is referred in total to another records location, it counts as one case in the reference cores.  If the inquiry is referred to multiple locations for processing, core personnel record one case count for each referral.  If the inquiry is workable, each name for which we provide information or forward elsewhere for reply counts as a separate case for production purposes in reference cores.

4. Responsibilities.

   1. Mailroom Data Entry Clerks.  Data entry clerks are first to identify potential list cases.  Do not perform data entry on potential list cases.  Remove these cases from your CMRS mailroom batch and give them to your lead technician or supervisor.
   2. Mailroom Supervisor and Lead Technicians.  For every potential list case, create a list case batch in accordance with CMRS job aid Entering and Assigning a List Case (Batch).  Once the batch is created, send the assistant core manager an email with a cc: to the core manager.  Notify them that a list case has been assigned, and be sure to provide the list case batch number.
   3. Core Managers and Assistant Managers.  Core managers and assistant managers receive an email from mailroom personnel, alerting them that a potential list case has been assigned to them in CMRS.  The email contains the list case batch number.  Managers review each case to determine whether the case should be worked as a true list case or answered with one response.  Core managers and assistant managers are responsible for the entering and assigning of individual requests in CMRS.  The tasks of entering and assigning individual requests may be delegated to coaches or support personnel, as deemed appropriate by core managers and assistant managers.  Determining how to work the list case may not be delegated.  Processing instructions for entering and assigning individual requests are outlined in the CMRS job aid Entering and Assigning Individual Requests in a List Case Batch.  Once individual requests are entered, send an email to the coach to whom the case was assigned, notifying him/her that a list case has been assigned.  Be sure to provide the list case batch number and tell the coach whether or not the case should be worked as a true list case or answered with one response.
   4. Coaches.  On a rotating basis, reassign the list case batch and each associated request to a technician.  Send an email to let the technician know that a list case has been assigned to him or her.  Provide the list case batch number and tell the technician whether or not the case should be worked as a true list case or answered with one response.
   5. Core Technicians.  Technicians are responsible for processing the entire case, whether only one response is necessary or multiple responses are required.  The technician orders records and organizational records searches, as needed.  If it appears some of the information needed to answer the entire request may be a long time coming, it is permissible to send a partial response to the requester.  Such a response must include an explanation of why a partial response is being provided and that a subsequent response(s) will be forthcoming.  Individual requests are closed out in CMRS as they are completed.  If additional information or authorization is needed to work a request, attempt to contact the requester.  NA Form 13075, Questionnaire About Military Service, may be sent to the requester, as appropriate.  If the requester is a potential source of future inquires; e.g., a recruiter, rather than a family genealogist, enclose a SF 180 with the reply and tell the requester that requests are processed more efficiently if names are submitted separately. Also inform the requester that requests may be submitted electronically at http://vetrecs.archives.gov.