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Updated Sep 19, 2024

In This Section

 
This section contains the following topics:
 

 1.  Disclosing Evidence and Issuing an Appeal Decision

 
 

Introduction

 
This topic includes general guidance for disclosing evidence and issuing appeal decisions, including

Change Date

  

June 28, 2024

7.D.1.a.  Who May Issue an Appeal Decision

 
The appeals activity responsible for the decision with which disagreement is expressed issues the appeal decision to the appellant. 
 
If …
Then the appeal decision must be prepared by …
an appellant elects de novo review under 38 CFR 3.2600 on a notice of disagreement (NOD)
a Decision Review Officer (DRO), Veterans Service Center Manager (VSCM), Decision Review Operations Center Manager (DROCM), or Pension Management Center Manager (PMCM).
  • deciding a NOD under the traditional appeal process
  • considering evidence submitted after a statement of the case (SOC) has been issued, or
  • considering evidence developed in support of a remanded appeal
individuals designated by the VSCM, DROCM, or PMCM.
 
References:  For more information on

7.D.1.b.  Jurisdiction for Issuing an Appeal Decision

 
Use the table below to determine jurisdiction for issuing an appeal decision when the appealable issue results from a determination done for a special purpose.
 
When the appeal concerns …
Then jurisdiction falls under …
Reference
a regional office (RO) rating or administrative determination denying eligibility for Veterans Health Administration (VHA) benefits
 VHA. M21-1, Part XIII, Subpart i, 3.A
a VHA medical activity determination denying any of the following benefits:
  • clothing allowance
  • automobile
  • adaptive equipment, and/or
  • specially adapted housing
 VHA.
Department of Veterans Affairs (VA) medical center issues
 VHA. M21-1, Part XIII, Subpart i, 3.H.2.d
an administrative determination denying entitlement to any of the following benefits:
  • compensation or pension issues
  • automobile
  • adaptive equipment
  • specially adapted housing
  • dependency, and/or
  • apportionment
 DROC. M21-5, Chapter 7
the Civilian Health and Medical Program of Veterans Affairs (CHAMPVA)
 VHA.
a forfeiture decision
Central Office, Compensation Service.
potential payment of attorney fees
 DROC. M21-5, Chapter 8, Section B, 4.a
a special allowance under 38 U.S.C. 1312(a)
  • the Philadelphia Pension Management Center for VA determinations, or
  • Social Security Administration (SSA) for SSA determinations.
the appointment of a fiduciary
 the fiduciary hub that appointed the fiduciary.
a competency determination made by a fiduciary hub
the Veterans Service Center (VSC) co-located with the fiduciary hub.
a competency determination made by a VSC
the VSC that made the competency determination.

 

7.D.1.c.  Joint Issuance of an Appeal Decision

 
In some situations, two jurisdictions may have contributed to the decision being appealed.
 
Use the table below to determine joint issuance of an appeal decision when two or more jurisdictions contributed to a decision.
 
If the issue being appealed is …
And the …
Then the decision is issued jointly by the …
an unfavorable character of discharge (COD) decision
  • rating activity determined that the Veteran was not insane, and
  • authorization and rating activities contributed to the decision
authorization and rating activities.
the validity of a debt
denial of waiver of the debt is appealed simultaneously
authorization activity and the Committee on Waivers and Compromises (COWC).
 

7.D.1.d.       Required Language for Liberally Construing Evidence and Statements

 
Veterans Benefits Administration policy is to consider all claims sympathetically or liberally by generously construing the evidence and associated claimant statements and resolving any ambiguities in the claimant’s favor, irrespective of whether the claimant is pro se (unrepresented) or represented by a Veterans Service Organization (VSO) or private attorney. 
 
VA must demonstrate in its decisions that it is compliant with this legally binding requirement.  Include the following language below in all SOCs and supplemental statements of the case (SSOCs).
 
VA, in determining all claims for benefits that have been reasonably raised by the filings and evidence, has applied the benefit-of-the-doubt and liberally and sympathetically reviewed all submissions in writing from the (Veteran/claimant) as well as all evidence of record.
 
Note:  As of March 24, 2015, evidence by itself cannot constitute a claim and must be received on a prescribed form.
 
References:  For more information on

7.D.1.e. Matters Not to Be Disclosed in an Appeal Decision

 
Do not include matters in an appeal decision of a sensitive nature that would be injurious to the physical or mental health of the appellant, including
  • matters considered by responsible medical authority to be injurious to the appellant’s health
  • references to
    • a prognosis of “poor” or “terminal” or
    • conditions of misconduct, unless the specific misconduct is relevant to the issue, or
  • discussions of evidence in a way that might provoke feelings of hostility, resentment, or rejection on the part of the appellant or their family.

References:  For more information on disclosure of information in an appeal decision, see

7.D.1.f.        Disclosing Appeal Information to the Appellant’s Representative

 
All matters can be disclosed to the appellant’s designated representative unless the appellant limited the representation.  Therefore, in some cases, two different versions of the appeal decision may be prepared when it is not permissible to furnish full information to the representative.
 
Use the table below when disclosing appeal information to the appellant’s representative.
 
If the representation is …
And the …
Then …
unlimited
N/A
prepare a single appeal decision with copies for the appellant and the representative covering all issues on appeal.
is limited under 38 U.S.C. 7332
issues on appeal are protected under 38 U.S.C. 7332
  • prepare a separate appeal decision for the representative omitting issues not to be disclosed, and
  • retain copies in the claims folder of both the full appeal decision released to the claimant as well as the limited version released to the representative.
is limited to specific issues
appeal covers more than the specific issues covered by the representation
  • prepare an appeal decision covering all issues on appeal for the claimant
  • prepare a separate appeal decision for the representative containing only those issues covered by the representation, and
  • retain copies in the claims folder of both the full appeal decision released to the claimant as well as the limited version released to the representative.
 
References:  For more information, on

7.D.1.g.   Issuing an Appeal Decision in Contested Claims

  
When an appeal is filed in response to a contested claim decision, send the appeal decision to all parties involved in the contested claim decision and their authorized representative(s).
 
Example:  An SOC prepared in response to an apportionment NOD must be sent to the Veteran, the apportionment claimant, and both their authorized representative(s).
 
References:  For more information on

7.D.1.h.  Characterizing Appeal Issues

  
An appeal issue in any SOC and any subsequent SSOCs, must be characterized in such a way as to provide meaningful notice of the issues on appeal.  The proper characterization of an appeal action reduces confusion and assists appellants when they present written and/or oral arguments before the Board of Veterans’ Appeals (Board).  Therefore, all SOCs and SSOCs must properly characterize appealed issues related to reductions, which should not be characterized as claims for increase or as a claim to reopen.
 
Example 1:  An RO issues a rating decision and decision notice informing the Veteran that the evaluation of service-connected (SC) asthma is reduced from 30 percent to 10 percent effective June 13, 2018.  The Veteran files an NOD disagreeing with the reduction in the evaluation.  The DRO issues an SOC and characterizes the issue as Reduction in the rating for asthma from 30 to 10 percent, effective June 13, 2018.
 
Example 2:  An RO issues a decision that results in a combined SC evaluation of 60 percent.  The Veteran files an NOD disagreeing with the combined evaluation.  The DRO issues an SOC and characterizes the issue as Calculation of the Veteran’s combined disability rating, currently calculated as 60 percent.
 
References:  For more information on
  
 

 2.  Partial Grants, Full Grants, Statements of the Case (SOCs), and Supplemental Statements of the Case (SSOCs)

 
 

Introduction

  

Change Date

  
 August 23, 2024

7.D.2.a.  Types of Appeal Decisions

  
The format of an appeal decision is dependent on the type of decision being made.  When an appeal requires a decision, use the table below to determine the proper format to document the decision.
 

If the decision is…
Then prepare a(n)…
 
  • a full or partial grant of the benefit sought for a single appeal issue, and
  • the remaining issues on the same appeal record, if any, are ready for a decision
  • rating decision that addresses only the issue(s) that can be awarded, and
  • SOC or SSOC, if any issues remain denied.  
Notes: 
  • Follow the appropriate full or partial grant procedures noted in M21-5, Chapter 7, Section D.2.b and c.
  • Limit the content of the SOC or SSOC to only the issue(s) that remain denied or only partially granted.   
a continued denial of the benefit sought on an NOD
SOC.
  • a continued denial of the benefit sought, and
  • an SOC was previously sent
SSOC.
 
Reference:  For more information on when to send an SSOC, see
  • a full or partial grant of a multi-issue appeal, and
  • the remaining issues on the same appeal record are not ready for a decision
  • rating decision that addresses only the issue(s) that can be awarded
  • add the following in the SPECIAL NOTATION field:  [relevant contention(s)] SOC/SSOC required
  • direct or initiate required development action on remaining appeal issues, and
  • provide notice to the appellant that they will receive notice of a decision on the remaining appeal issues at a later date.
Note:  Follow the appropriate full or partial grant procedures noted in M21-5, Chapter 7, Section D.2.b and c.
 

7.D.2.b.  Decisions to Award Full Benefits

 
If all benefits sought are awarded for the entire period covered by the appeal
  • consider the appeal resolved for that issue
  • advise the appellant and representative, if applicable, that the appeal is considered resolved, and
  • update the Veterans Appeals Control and Locator System (VACOLS) record according to the table below.
If fully granting …
Then in VACOLS …
all issues on appeal
  • Enter the appellant’s file number in the APPELLANT ID field and click on the FIND ID button to display the appellant’s VACOLS record(s).
  • Highlight the relevant VACOLS record.
  • Select DISPATCH APPEAL.
  • Enter the date of the decision in the DISPOSITION DATE/DATE SENT TO BVA field.
  • In the DISPOSITION OF APPEAL field, select ADVANCE ALLOWED IN FIELD.
  • If relevant, select
    • DRO DECISION
    • INFORMAL CONFERENCE, or
    • FORMAL HEARING.
only some of the issues on appeal
  • Enter the appellant’s file number in the APPELLANT ID field and click on the FIND ID button to display the appellant’s VACOLS record(s).
  • Highlight the relevant VACOLS record.
  • Select VIEW APPEAL.
  • Navigate to the ISSUES tab.
  • Highlight the relevant issue.
  • Select UPDATE.
  • From the DISPOSITION drop down menu, select Advance allowed in Field.
  • Enter the date of the decision in the DISP DATE field.
  • Select UPDATE.
 
Notes: 
  • The decision notice must be comprehensive and include
    • all decision notice elements as described in M21-1, Part VI, Subpart i, 1.B.1.a, and
    • a statement that the decision
      • is an award of all benefits sought on appeal for that issue, and
      • the appeal is considered satisfied in full for that issue.
  • When service connection (SC) is the issue under appeal, a grant of SC, regardless of the evaluation, satisfies the appeal in full.
Reference:  For more information on the definition of full grant, see

7.D.2.c.  Decisions to Award Partial Benefits

 
A decision that partially awards the benefit sought still requires an SOC/SSOC unless the appellant states they are satisfied with the partial award. 
 
Follow the steps in the table below when preparing a partial award of the benefit sought on an appeal.
 

Step
Action
1
Prepare a rating decision for the awarded issue(s), if applicable.
2
Either
  • prepare an SOC/SSOC on the issues that cannot be fully granted, or
  • if the remaining issues are not ready for a decision, direct or initiate required development action.
Note:  When granting a staged rating on an appeal for an increased evaluation (separate evaluations for separate periods of time, based on facts found), the SOC/SSOC should list the evaluation for each distinct evaluation period covered by the appeal.
 
Example: 
1. Evaluation of hearing loss at more than 0 percent for the period from January 18, 2018, to September 29, 2018.
2. Evaluation of hearing loss at more than 10 percent for the period from September 29, 2018.
 
Reference:  For more information on preparing an SOC/SSOC, see M21-5, Chapter 7, Section D.3.
3
If there has been no previous contact with the appellant or the representative, attempt to contact the appellant or the representative directly to explain the decision and the options available.
 
Notes: 
  • In cases where a withdrawal of an appeal is received by telephone, explain VA’s need to obtain written confirmation of the withdrawal.
  • Document any contact with the appellant or authorized representative on VA Form 27-0820, Report of General Information.
Reference:  For more information on withdrawal of appeals, see M21-5, Chapter 7, Section A.3.
4
If you continue to disagree with this decision, refer to the instructions in your Statement of the Case about how to continue your appeal.
5
Send the appellant
 
References:  For more information on

7.D.2.d.  Examples of Action to Take on Partial Appeal Awards

  

Example 1:  A Veteran files an NOD with a decision denying an increased evaluation for a knee condition.  The appeals team member decides to award a partial rating increase and assigns a 20-percent evaluation. However, the Veteran has specifically indicated that the evaluation should be 40-percent disabling. The appeals team sends the Veteran

  1. Evaluation of left knee arthritis at more than 10 percent for the period from January 2, 2017, to January 2, 2018.
  2. Evaluation of left knee arthritis at more than 20 percent for the period from January 2, 2018. 
Example 2:  A Veteran submits VA Form 9, Appeal to Board of Veterans’ Appeals, regarding the decision on an individual unemployability (IU) claim, attaches new evidence, and requests an RO review.  The Veteran also files a new NOD on the evaluation of SC asthma.  The appeals team member determines the claim for IU can be awarded.  In response to a telephone inquiry, the Veteran was advised that the IU was granted, but not yet promulgated. The Veteran submits a written statement that the grant of IU satisfies all appeal issues, including the asthma.  The appeals team prepares a rating effectuating the award of IU, dispatches both VACOLS records, and sends the Veteran a decision notice with the Withdrawn Appeal letter language acknowledging the withdrawal of the NOD for asthma.
 
Reference:  For more information on withdrawn appeal procedures, see M21-5, Chapter 7, Section A.3.

7.D.2.e.  Decisions to Uphold the Previous Decisions on NODs

 
If confirming the previous decision on an NOD, send the appellant
  • an SOC
    • confirming the decision on appeal, and
    • explaining the reasons and bases for the VA decision
  • VA Form 9,  and
  • an explanation of any applicable time limit to respond. 
References:  For more information on preparing and issuing an SOC, see

7.D.2.f.  Decisions to Uphold the Previous Decisions After an SOC

  

If confirming the previous decision on an appeal after an SOC has been sent, and when required as specified in M21-5, Chapter 7, Section D.4.a, send the appellant

  • an SSOC
    • confirming the decision on appeal, and
    • discussing any changes and additions to the information provided in the prior SOC or SSOCs
  • a VA Form 9, if still required, and
  • an explanation of any applicable time limit to respond.
 References:  For more information on preparing and issuing an SSOC, see

7.D.2.g.  Jurisdiction Over  Downstream Appeal Issues

 
When issuing a favorable decision on an appealed issue, the decision maker assumes jurisdiction over and decides any downstream issues, including
  • disability evaluation
  • effective date, and
  • ancillary issues that are within scope of that favorable decision.
Exception:  If character of discharge (COD) is favorably resolved on appeal, control the issue of SC for the claimed issue(s) that led to the COD determination under an end product (EP) 930 and handle through the regular claims process. 
 
Important:  De novo review of a downstream issue must be conducted by a DRO who did not render the initial decision on the downstream issue.
 
References:  For more information on

7.D.2.h.  When Decisions on Downstream Issues Confer New Review Rights

  
Use the table below to determine whether a decision made on a downstream issue confers new appeal rights.
 
If… Then…
A new benefit is granted that was not specifically noted in the disagreement, such as an ancillary benefit or newly decided issue(s) related to the issue under appeal New review rights are warranted for the newly granted benefit(s) or issue(s).
The appeal decision renders a full grant of the benefits sought

New review rights are not warranted for that issue; however, new review rights would be warranted for any downstream issues such as evaluation in the case of an appeal for service connection.
The appeal decision renders a partial grant of the benefits sought

The underlying appeal remains contested. New review rights are not warranted for the issue in question, or downstream issues such as evaluation and effective date.
References:  For more information on

7.D.2.i.  Processing Issues Within the Scope of the Appeal

  
When completing decisions on appeals, appeal decision makers must address any issue within the scope of the appeal.  The issue can be raised by lay statements, medical evidence, or as a logical and legal consequence of other VA decisions, such as increased evaluations.  Send the appellant a VA Form 20-0998, Your Right to Seek Review Of Our Decision, with the decision notice on the within scope issue.
 
Example:  The appeal decision maker is reviewing medical evidence in support of the appeal on the Veteran’s SC neurological disability and discovers that it now causes loss of use.  The appeal decision must include a decision on any ancillary benefits to which the Veteran is entitled, such as SMC and auto grant.
 
References:  For more information on

7.D.2.j.  Addressing Potential Entitlement that Requires a Prescribed Form

  
When completing appeals decisions, appeal decision makers must recognize and solicit for benefits when entitlement is shown and a prescribed form is required to grant such benefits, if the prescribed form is not of record.
 
Example:  Cause of death was previously denied. The subsequent appeal granted cause of death.  The Veteran’s dependent was established prior to the Veteran’s death.  The now service-connected cause of death and a dependent on a  previous award indicates potential entitlement to Dependency and Indemnity Compensation (DIC).  Therefore, the appeals decision maker should solicit for a VA Form 21P-534, Application for DIC, Survivors Pension, and/or Accrued Benefits, with the notification letter.

 

 

3. Preparing and Issuing an SOC

 
 

Introduction

 

This topic contains information on an SOC, including

Change Date

 

June 28, 2024

7.D.3.a.  When to Issue an SOC

 

Issue an SOC when there is an active, valid NOD that cannot be fully granted.  Before issuing the SOC

  • complete all necessary development, and
  • conduct any requested hearing or informal conference.
Note:  This policy on the preliminary steps to take before issuing an SOC applies to both traditional appellate and DRO reviews.
 
References:  For more information on

7.D.3.b.  Purpose of an SOC

  
The purpose of an SOC is to provide the appellant a decision and explanation of the continued denial on the issue(s) listed on an NOD.  As stated in 38 CFR 19.29, the SOC must contain enough information to allow the appellant to present written and/or oral arguments before the Board.
 
The SOC must provide the appellant
  • a summary of the relevant evidence
  • a summary of the applicable laws and regulations
  • a discussion of how such laws and regulations affect the determination
  • the determination on each issue, and
  • the reasons for each such determination.

7.D.3.c.  SOC Format

 
The table below describes the sections of an SOC and the actions required when completing each section.
 

Section

Description

Action

Transmittal Letter to Appellant

Indicates the appellant’s name, address, claim number, and representative.

Follow the guidance in the table below for listing the representative.

If the claimant is represented by …

Then in the POA field …

no representative

enter None.

a VSO

enter the name of the VSO.

a private claims agent/attorney

follow the guidance in M21-1, Part I, Subpart i, 2.C
 

Issue

Identifies the issue(s) covered by the SOC.

If there are multiple issues, state and number each issue.

Evidence

Summarizes all evidence relative to the issues being considered.

Example:  Medical records, places and circumstances of service, service treatment records.

Use short sentences, when appropriate, for clarity and accuracy.

Note:  Appeal decisions must follow the rating decision guidelines for listing evidence as noted in M21-1, Part V, Subpart iv, 1.A.4.a.

Adjudicative Actions

Cites only those rating and authorization actions relevant to the issues raised.

List entries in chronological order.

Pertinent Laws and Regulations

Summarize the provisions in the statute(s) or regulation(s) that govern the decision(s) rendered.
Quote verbatim only those relevant portions of all regulations and U.S.C. sections that are pertinent to the issues.
 
Reference:  For more information on suggested laws and regulations to cite in an SOC/SSOC, see Applicable Laws and Regulations – Citations.

Decision

States the decision.

If there are multiple issues, number each to correspond to the number shown in the issue section of the SOC.

Reasons for Decision
  • Includes the reasons for the decision
  • explains how the evidence supports the underlying decision
  • analyzes the evidence of record under the applicable legal principles governing the decision, and
  • indicates why most of the evidence is against the claim.
  • Discuss the laws and regulations cited and explain how they relate to the adverse decision
  • address the appellant’s contentions
  • attempt to clarify and reduce the reasoning to simple terms so the reader will understand the precise basis for the decision, and
  • number the Reasons for Decision to correspond with the issues and decisions.

Signature and Review
The person who prepared the original SOC must sign it.
 
Note:  At the discretion of the VSCM, DROCM, or PMCM, a second person may review and approve the SOC.

Review and sign the SOC. This applies to any SOC, whether prepared by a

  • Veterans Service Representative (VSR)
  • Rating VSR, or
  • DRO.
Follow the procedures in the table below to properly sign the SOC.
 
If the SOC requires …
Then …
one signature
configure the electronic signature in the SOC program as follows:
 
eSign: certified by [decision maker’s Local Area Network Identification (LAN ID), job title]
 
Example:  eSign: certified by VSCJSMIT, DRO
two or more signatures
follow the procedures in M21-1, Part V, Subpart iv, 1.B.7.a.
 
 
References:  For more information on

7.D.3.d.       Submission of New and Material Evidence

 
If the evidence is considered both new and material, then the legacy appeal is successfully reopened and must be adjudicated on its merits.
 
However, if the evidence on the reopened claim does not change the prior decision based on that evidence, the issue in any SOC resulting from that decision is the continued denial of the benefit claimed.  The evidence, pertinent laws, and regulations cited in the SOC must support the decision.
 
In this situation, the SOC includes the
  • date of the original denial
  • date of notification of that denial
  • date that denial became final
  • regulations covering new and material evidence and finality of decisions
  • summary of the evidence pertinent to the merits and adjudication
  • decision on the merits, and
  • reasons for the decision. 

References:  For more information on

7.D.3.e.       Evidence Not New and Material

 
If an appellant disagrees with the decision that the evidence submitted to reopen a legacy appeal is not new and material, the SOC should explain why the evidence considered does not meet the new and material standard as defined in 38 CFR 3.156(a).
 
In this situation
  • limit the SOC, based on that decision, to the issue of whether new and material evidence was submitted
  • cite in the Adjudicative Actions section the
    • date of the original denial
    • date of notification of that denial
    • identification and date of receipt of the evidence submitted to reopen the claim
    • date of the finding that the evidence was not considered to be new and material, and
    • date of notification of that decision, and
  • cite the regulations
    • covering new and material evidence, and
    • pertaining to finality of decisions. 

References:  For more information on

7.D.3.f. SOC Printing and Filing Requirements

 
When preparing an SOC
  • use plain bond paper to
    • print an original for the claimant, and
    • a copy for any authorized representative, if any, and
  • maintain a file copy in the claims folder. 
Notes: 
  • The SOC may be printed on both sides of the paper, provided that the reverse side is printed head to foot. 
  • When uploading the SOC to the Veterans Benefits Management System (VBMS) electronic claims folder (eFolder), edit the document properties by selecting Statement of Case (SOC) as the document type under the APPEALS dropdown menu in the CATEGORY-TYPE: ALTERNATE field. 
Reference:  For more information on editing document properties in VBMS, see the VBMS User Guide.

7.D.3.g.  Issuing an SOC

 
Use the table below to issue an SOC to the appellant, their representative, or fiduciary at the last address of record.
 
If you are issuing an SOC to the …
Then …
appellant or their fiduciary
appellant’s representative
 
Example:  An agent, attorney, or accredited representative.
  • issue a copy of the SOC, which may or may not be identical to the one sent to the appellant
  • clear the appropriate EP, and
  • update VACOLS.
 
References:  For more information on

7.D.3.h.  SOC Transmittal Letter Requirements

 

The transmittal letter on an SOC must contain

  • the appellant’s most recent address of record
  • in the courtesy copy (cc) line
    • the current representative, and
    • if the representative is a private attorney or claims agent, the representative’s address 
  • a notice of the right to file a substantive appeal
  • a notice of the ability to file for a modernized decision review (for all SOCs issued on or after February 19, 2019, the effective date of the Appeals Modernization Act (AMA))
  • the time within which the appeal must be filed
  • information regarding the right to a hearing and the right to representation, and
  • a statement that, if the appellant still desires appellate review by the Board after reading the SOC, they should state on VA Form 9 which specific fact or law cited they believe to be in error and for what issue. 
Important:  The date on the SOC transmittal letter must be the date the SOC is sent to the appellant.
 
References:  For more information on

7.D.3.i.  Issuing an SOC to Appellants in the Philippines

 
When issuing an SOC to an appellant residing in the Philippines, attach the following statement to the letter of transmittal:
 
HEARING ON APPEAL
 
A hearing on appeal should not be requested unless the appellant actually intends to make a personal appearance before a hearing agency at Manila.  Any expense involved in connection with a hearing, including expenditures for transportation to and from Manila, lodging, food, etc., may not be borne by the Government.  Hearings are not required.  All the evidence of record, including any statements or affidavits submitted by the appellant or in his/her behalf, receives the same thorough consideration whether or not a hearing is held.

7.D.3.j.  Updating VACOLS When Issuing an SOC

  
When an SOC is issued, VACOLS must be updated to reflect the date the SOC was sent to the appellant. 
 
Follow the steps in the table below to update VACOLS to reflect the date an SOC is issued.
 

Step
Action
1
In VACOLS, enter the appellant’s file number in the APPELLANT ID field and click on the FIND ID button to display the appellant’s VACOLS record(s). 
2
  • Highlight the relevant appeal record, and
  • click on the UPDATE APPEAL button to access the record.
3
Enter the date the SOC is sent to the appellant in the SOC field.
4
Select PARTIAL GRANT or DENIAL to reflect the decision made.
5
Update individual issues that are fully granted as discussed in M21-5, Chapter 7, Section D.2.b.
 
 

4.  Preparing and Issuing an SSOC
 

Introduction

 

This topic contains information on an SSOC, including

Change Date

 

June 28, 2024

7.D.4.a.  When to Issue an SSOC

 
After an SOC has been issued, and when required, ROs should issue an SSOC to document a continued denial of an appealed issue. 
 
Important:  If the RO determines the appealed issue can be fully or partially awarded, follow the guidance in M21-5, Chapter 7, Section D.2 and issue the appropriate appeal decision(s).
 
See the table below to determine if the issuance of an SSOC is required.
 
If …
Then …
  • a substantive appeal was timely filed, and
  • the appellant submits new evidence, but
  • does not request RO review 
Important:  Only applies to substantive appeals filed on or after February 2, 2013.
  • do not issue an SSOC, and
  • begin the certification process. 
Reference:  For more information on the certification process, see M21-5, Chapter 7, Section F.3.
  • the claimant submits new evidence, and
  • requests review by the RO
issue an SSOC.
development on an appeal or remanded appeal results in additional relevant evidence
 
Example:  A VSR uploads VA treatment records relevant to the issue(s) on appeal.
issue an SSOC.
  • a material error is discovered in the SOC
  • the reviewer determines the prior SOC or SSOC was inadequate, or
  • the appellant appeared for an RO hearing
issue an SSOC.
  • additional evidence is received within a year of the decision notice being appealed, but
  • no substantive appeal has been filed
Exception:  Simultaneously contested claims.
issue an SSOC.
 
References:  For more information on
evidence is received that
  • duplicates evidence already of record, or
  • is not relevant to the issue(s) on appeal
  • do not issue an SSOC, and
  • take the next appropriate step in the appeal process.
the appellant claims a new issue
any decision on the new claim should be documented in a normal decision notice, not an SSOC.
 
Reference:  For more information on handling new issues raised on a substantive appeal, see M21-5, Chapter 7, Section E.3.
 
References:  For more information on

7.D.4.b.  How to Prepare an SSOC

 
Prepare an SSOC in the same format as an SOC and use the appropriate transmittal letter.
 
Limit the SSOC to those changes or additions to the SOC needed to give complete information to the appellant.  For those issues that have undergone a change, repeat in full the
  • issue
  • decision, and
  • decision narrative. 

Important: 

  • Include the required language regarding liberally construing evidence provided in M21-5, Chapter 7, Section D.1.d.
  • When an appeal is filed in response to a contested claim decision, send the SSOC to all parties involved in the contested claim decision and their authorized representative(s).
  • Appeal decisions must follow the rating decision guidelines for listing evidence as noted in M21-1, Part V, Subpart iv, 1.A.4.a.

References:  For more information on

7.D.4.c.  Additions to an SSOC if a Substantive Appeal Is Not Filed

 

If the appellant has not filed a substantive appeal at the time the SSOC is released

  • provide another VA Form 9 with the appropriate transmittal letter
  • include information about the time limit for submitting a substantive appeal
  • clear the appropriate EP, and
  • update VACOLS. 

Notes: 

  • If an SSOC is sent before the receipt of the substantive appeal, then the claimant has until the later of either 60 days from the mailing of the SSOC, or the remainder of the one-year period from the date of the original notification, to perfect the appeal with a VA Form 9 or substantive appeal.
  • If additional evidence is submitted with or after a substantive appeal, then refer to M21-5, Chapter 7, Section E.2.a.

References:  For more information on

7.D.4.d.  Items Not Included in an SSOC

 
Do not
  • repeat evidence cited in the SOC
  • include the Pertinent Laws and Regulations section unless an additional statute or regulation is relied upon, or
  • use the phrase as previously stated in any of the sections. 
Note:  Decision makers must evaluate and weigh all evidence, but should not routinely list evidence that was considered in a prior appeal decision.
 
Reference:  For more information on evaluating evidence, see M21-1, Part V, Subpart ii, Chapter 1.A.

7.D.4.e. SSOC Transmittal Letter Requirements

 

The transmittal letter on an SSOC must contain

  • the appellant’s most recent address of record
  • in the courtesy copy (cc) line
    • the current representative, and
    • if the representative is a private attorney or claims agent, the representative’s address
  • a notice of the ability to file for a modernized decision review (for all SSOCs issued on or after February 19, 2019)
  • a notice of the right to file a substantive appeal, and
  • the time within which a response must be filed. 

Important:  The date on the SSOC transmittal letter must be the date the SSOC is sent to the appellant.

References:  For more information on

7.D.4.f.  SSOC Printing and Filing Requirements

  
 When preparing an SSOC
  • use plain bond paper to
    • print an original for the claimant, and
    • a copy for any authorized representative, and
  • maintain a file copy in the claims folder.
Notes: 
  • The SSOC may be printed on both sides of the paper, provided that the reverse side is printed head to foot.
  • When uploading the SSOC to the VBMS eFolder, edit the document properties by selecting Supplemental Statement of Case (SSOC) as the document type under the APPEALS dropdown menu in the CATEGORY-TYPE: ALTERNATE field.
Reference:  For more information on editing document properties in VBMS, see the VBMS Job Aid – Editing Document Properties.

7.D.4.g.  Updating VACOLS When Issuing an SSOC

  
When an SSOC is issued, VACOLS must be updated to reflect the date the SSOC was sent to the appellant.
 
Follow the steps in the table below to update VACOLS to reflect the date an SSOC is issued.
 

Step
Action
1
In VACOLS, enter the appellant’s file number in the APPELLANT ID field and click on the FIND ID button to display the appellant’s VACOLS record(s). 
2
  • Highlight the relevant appeal record, and
  • click on the UPDATE APPEAL button to access the record.
3
Enter the date the SSOC is sent to the appellant in the SSOC field.
4
Update individual issues that are fully granted as discussed in M21-5, Chapter 7, Section D.2.b.
 

 5.  Choices Under the Appeals Modernization Act (AMA)

 
 

Introduction

 
This topic includes general guidance on using appeal decisions, such as SOCs and SSOCs, to solicit elections for reviews and claims under the Veterans Appeals Improvement and Modernization Act of 2017, Public Law 115-55, 131 Stat. 1105 including:

Change Date

  

October 15, 2020

7.D.5.a.  Choices Under the AMA

 
The AMA maintains the ability of claimants to appeal to the Board of Veterans’ Appeals (Board), albeit with some significant procedural changes.  For example, the Board now assumes jurisdiction of all appeals from the initial notice of disagreement, as opposed to the prior moment of certification. 
 
AMA also offers appellants the ability to choose, or opt-in to, two new lanes for review of their benefits decisions:
  • higher-level reviews (HLRs), or
  • supplemental claims. 
Essentially, HLRs consider the evidentiary record as it existed at the time of the prior contested decision, while supplemental claims require either the identification or submission of new and relevant evidence. 

7.D.5.b.  Using SOCs/SSOCs to Solicit AMA Elections

 
The law allows claimants with legacy appeals to opt-in to the two AMA review lanes for issues that are part of those appeals.  A legacy appeal stems from any decision (involving original, new, or reopened claims, and SOCs or SSOCs) VA made before February 19, 2019.  An election to participate in the new AMA review programs received within 60 days of the date of the SOC/SSOC, or within one year after the notice of the original contested decision, whichever is later, results in withdrawing the legacy appeal for those issues.  However, claimants may still appeal to the Board those same issues after VA issues a decision on the HLR or supplemental claim.
 
Any issues on the SOC/SSOC that are not listed in an AMA election will remain under legacy appeals procedures.
 
References: For more information on: